Were you wronged by a Broker or Brokerage Firm?
Brokers and brokerage firms generally act for the best interests of their customers. Oakes & Fosher handles cases for those situations when they do not.
Broker misconduct generally falls into two categories (1) self-dealing and (2) failure to make suitable investment decisions for a customer. The rules, regulations and standards governing securities transactions are, however, complicated to say the least. A variety of abusive and unsuitable conduct may be occurring or may have occurred in your brokerage account without you having the slightest notion that wrongdoing may have taken place.
There are many different types of investment fraud or negligence that can be differentiated by case type listed below.
- Broker Negligence and Suitability
- Conversion Fraud
- Excessive Trading, or “Churning”
- Mutual Fund Fraud
- Outside and Private Investments
- Ponzi Schemes
- Variable Annuity Fraud