How We Help Investors Fight Back Against Securities Fraud
At Strause Law Group, PLLC, we help victims of securities fraud in Kentucky and South Carolina understand their rights, investigate wrongdoing, and pursue justice through litigation or Financial Industry Regulatory Authority (FINRA) arbitration.
We know how devastating it is to discover that your trust has been violated by a broker, adviser or financial institution. If you’ve suffered investment losses due to fraud or broker misconduct, we’re here to help you recover what you’ve lost and hold the responsible parties accountable.
What Is Securities Fraud?
Securities fraud occurs when a financial professional, broker or investment firm intentionally misleads investors, resulting in financial harm. This can take many forms, including false statements in investment materials, unauthorized trading and deceptive sales practices. At its core, securities fraud is about betrayal of trust and violation of federal or state securities laws. The federal Securities and Exchange Commission (SEC) plays a central role in investigating and enforcing these laws, especially in cases involving public companies, insider trading and Ponzi schemes.
Securities fraud can impact investors across the board – retirees, working professionals and even first-time investors. No matter your situation, if you suspect that you’ve been impacted by securities fraud, it’s wise to seek guidance from an experienced securities fraud attorney such as ours.
What Do You Need To Show To Prove A Securities Fraud Case?
To prove a case of securities fraud, you must establish several legal elements:
- A material misrepresentation or omission of fact
- An intent to deceive
- Reliance on the misrepresentation by the investor
- Economic loss as a result
- Causal connection between the fraud and the loss
Our securities fraud attorneys can investigate these elements thoroughly and build a strong case that supports your claim.
Identifying Securities Fraud: Red Flags To Watch For
Many investors don’t realize they’ve been defrauded until it’s too late. Here are some common warning signs:
- Unexplained investment losses that don’t align with market trends
- High-pressure sales tactics or promises of “guaranteed” returns
- Unauthorized trading or transactions you didn’t approve
- Churning, or excessive buying and selling to generate commissions
- Misrepresentation of risks, fees or the nature of the investment
- Unsuitable investments that don’t match your financial goals or risk tolerance
If any of these sound familiar, it’s time to speak with an investment fraud attorney. We can help you determine whether your losses were the result of legitimate market forces or something more deceptive.
Types Of Securities Fraud We Handle
We represent investors in a wide range of securities litigation and arbitration cases, including:
- Ponzi schemes and pyramid schemes
- Insider trading
- Misrepresentation or omission of material facts
- Unauthorized trading and account manipulation
- Churning and excessive trading
- Unsuitable investment recommendations
- Broker misconduct and breach of fiduciary duty
- Failure to supervise by brokerage firms
- FINRA dispute resolution and arbitration claims
Whether your case involves a rogue broker, a negligent firm or a complex investment fraud lawsuit, we can walk you through how to file a claim for recovering investment losses and pursue justice on your behalf.
Frequently Asked Questions About Securities Fraud
Below are answers to common questions about securities fraud. Please reach out to our team for additional guidance.
What are the most common types of securities fraud?
Some of the most common types include Ponzi schemes, insider trading, churning, unauthorized trading and misrepresentation of investment risks. Fraud can also occur when brokers recommend unsuitable investments or fail to disclose conflicts of interest.
How do I know if my investment losses were caused by fraud?
If your losses seem unusually large, inconsistent with market performance, or tied to investments you didn’t fully understand or authorize, it’s worth investigating. Our team can review your account statements, communications and investment history to identify signs of fraud.
What is the difference between FINRA arbitration and a securities fraud lawsuit?
FINRA arbitration provides a nonpublic forum for resolving disputes between investors and financial professionals. It’s typically quicker, less formal and less expensive than court litigation. A securities fraud lawsuit, on the other hand, is filed in state or federal court and may be appropriate in cases involving broader misconduct or class actions. We help clients determine the best path forward based on their unique circumstances.
Let’s Help You Recover What You’ve Lost
If you suspect you’ve been the victim of securities fraud, contact us to protect your rights and pursue justice. Call our securities fraud attorneys today at one of the phone numbers below to schedule a confidential consultation.
Louisville office: 502-498-8268
Lexington office: 859-428-7029
Charleston office: 843-936-4846