How a New Jersey Securities Lawyer Can Help with Legal Issues with Your Investments

Securities Arbitration Lawyer Sea Girt, NJ

A New Jersey securities lawyer helps investors who believe they were victims of misconduct. As with other types of lawyers, they gather evidence through discovery. Then they conduct the necessary research and take the defendant to court if necessary. Learn more about the types of claims that securities attorneys handle. Then, contact an attorney if you have been a victim of a broker’s negligence or misconduct.

Claims handled by an NJ securities lawyer

Securities attorneys help investors hold brokers and financial institutions accountable. Claims are often filed due to misrepresentation, unsuitability, and breach of fiduciary duty. People also file claims due to churning and Ponzi schemes.

Misrepresentation or failure to disclose the risks of the investment

People can hire a securities lawyer if a broker misrepresented an investment or failed to disclose potential risks. If a broker fails to disclose information, causing the client to incur losses, the attorney can file a lawsuit. These cases commonly occur when brokers do not explain the degree of risk for a particular investment. Then, the investor allows the broker to make the investment, only to lose a large sum of money.

Unsuitability

Brokers have a responsibility to consider a client’s goals and risk requirements when making investments. If a client has a low-risk requirement, making high-risk investments is not suitable. However, some brokers choose to make these investments anyway in the hopes of getting big returns. Clients can use a securities lawyer to hold the unsuitable broker accountable.

Breach of fiduciary duty

Brokers are required to put the needs of the client ahead of their own interests. It is a breach of fiduciary duty when the broker makes decisions based on their individual needs and interests instead of the client’s. Inexperienced investors are the most vulnerable to this issue. However, anyone can end up with a broker who breaches fiduciary duty. Those who believe this has happened can hire a securities lawyer.

Churning

Many people hire securities attorneys due to churning. Churning is the process of engaging in excessive trades to increase commission. Not only is this unethical, but it is also illegal. Securities laws and SEC rules clearly explain that churning is not allowed. Investors can hold brokers accountable with the help of an attorney.

Ponzi schemes

Sadly, some investment opportunities are Ponzi schemes. The head of the scheme attracts new investors and uses the money to pay off older ones. Eventually, new investors stop coming, causing the Ponzi scheme to implode. A securities lawyer can investigate the scheme and file a claim against its architect.

Learn more from a securities lawyer

If you believe you are the victim of a financial misdeed, reach out to an attorney. Securities attorneys can handle these claims. After going over the evidence, the attorney can explain your next steps. Then, you can move forward to hold the other party accountable.

Call us at (732) 449-0449 for more information from Anthony J. Cafaro, P.C. or to schedule a consultation in our office in Sea Girt. NOTE: This is for informational purposes only and does not constitute legal advice.

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