Securities Fraud Litigation & Arbitration

Securities fraud is a very specialized field of law which is why you want an attorney with years of trial experience.

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Have you placed your trust in a financial advisor or brokerage firm in the only to never see a return on your investment while you watch your investment dollars dwindle away?

Sadly, many other people have similar stories. Unfortunately, financial advisors do not always exercise due diligence and care in servicing their clients or handling their clients’ money.  

Whether due to their own lack of experience or because they have taken on too many clients to effectively service their accounts, financial advisors frequently drop the ball.  

Some even purposely mislead or fail to disclose material facts to their clients in an effort to make more money off them.

The laws and regulations that govern financial advisors and your investment accounts with brokerage firms are very clear:  financial advisors and their employing brokerages must always put your financial interests before their own. No exceptions.

Failure to do so may constitute negligence, a breach of fiduciary duty or something far worse such as fraud.

Most financial advisors are financial experts. They are very good at hiding their misconduct, including fraud.  In the wake of financial losses, it is not uncommon for financial advisors to counsel clients that their investments will “return in value” or that the decline is as a result of naturally occurring “market forces.”

If you or a loved one has experienced investment losses, we invite you to contact the Goldberg & Loren for a free consultation and tell us your story.  

We will give you a free and honest case assessment and discuss your options.

Goldberg & Loren is dedicated to protecting the financial rights of individual and institutional investors in South Florida and throughout the United States.  

Stockbroker Fraud and Misrepresentation

Investment fraud is not uncommon in South Florida. It usually happens because a stockbroker is overly eager to close a deal or generate commissions. In the process, the broker ends up making a misrepresentation in order to induce your approval of their recommendation.

Fortunately, investors are protected from fraud by both Florida state and federal securities laws, which make it unlawful to misrepresent an investment opportunity. Unfortunately, fraud still happens in spite of those laws. Victims, meanwhile, can lose their entire investment — and sometimes their entire fortune — because they acted on bad advice from someone they trusted.

If your broker or advisor has failed to fully advise you about the potential risks and costs of one of their recommended investments or has otherwise handled your account dishonestly, please contact the Goldberg & Loren right away. Our experienced securities litigation attorney in our office can help you fight to recover your losses.

Stockbroker Fraud and Misrepresentation

Elder financial abuse is a real concern across the entire country, but it is especially pressing in areas like South Florida where we have a large population of aging investors.

The elderly are more susceptible to investment fraud for several reasons:

While it might be hard to believe that a respected financial professional would take advantage of you or someone you love, the reality is that elder investment fraud does happen, and it is more common than you might think.

We urge you to contact our office at the first sign that something is amiss in your or your family member’s investment account.

Unsuitable Investments

The whole point of hiring an investment advisor is to get expert guidance to plan for a successful financial future and retirement.

It is therefore incumbent on advisors that they devote adequate time, consideration, and research to every recommendation before they make it.

When brokers recommend opportunities for strategies that don’t make sound financial sense for you as an individual investor, it is called an unsuitable investment.

Brokers and advisors have a duty to recommend only suitable investments. Failure to do so subjects them to liability for your losses.

Generally speaking, it is not enough for an investment to be suitable for most people. It must be suitable for you, considering your investment profile and financial situation as a whole.

If you’ve lost money because of unsuitable investments, our securities litigation attorney at Goldberg & Loren can help.

Lack of Diversification

We have all heard it said that one should not put all of one’s eggs in one basket. This timeless principle is bedrock to investment advising. Indeed, experienced brokers know they have a duty to diversify their client’s portfolios.

Diversification is important because markets are so hard to predict. By limiting the size of your investment in any one industry, asset, market, or geographic area, you are also limiting your exposure to risk should something go wrong in that industry, market, etc.

If your broker has failed to protect your investments by concentrating them in one area, you may be able to bring a lack of diversification claim and recover the losses you would not have sustained had your account been properly diversified.

What Other Securities Litigation Issues Do You Handle?

While this page has provided an overview of some of the most common issues in South Florida securities litigation, our firm also handles many other securities-related issues, including:

Goldberg & Loren Personal Injury

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