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Securities & Stockbroker Fraud

 

securities fraud attorney hawaii

If you are the victim of investor fraud or stockbroker misconduct, the securities fraud lawyers at Clay Chapman Iwamura Pulice & Nervell are here to help you. Securities fraud and broker misconduct may take many forms. You may have a claim to recover your losses with the help of a securities fraud attorney if:

  • You are a retirement age investor who lost money because of advice to buy speculative or volatile stocks   or investments, including limited partnerships.
  • You are a retirement age investor who lost money because he was advised to buy a variable annuity, especially if the sub-accounts for the variable annuity were volatile or speculative securities.
  • You were sold a "financial plan" that advised you to invest in mutual funds of the same company that the financial planner worked for, and lost money as a result.
  • You were advised to take pension money, IRA money or 401(k) money, and buy a variable annuity, especially if your financial planner or broker advised you to take the distribution as a lump sum and put it in the stock market or other risky investments, instead of taking safe, regular monthly distributions.
  • You were an unsophisticated investor who lost money due to margin trading or options trading which was never explained to you.
  • You are a retirement age investor who was advised to buy an annuity with high surrender charges in the first 5 or 10 years, despite the fact that you were likely to need access to that money during that time.
  • You were victimized by excessive trading (churning) in your accounts by your broker.
  • You were victimized by unauthorized trading in your accounts by your broker.

Fighting For Your Investments

Stockbrokers are required to know their clients, and to recommend only investments that are suitable for them. A broker must have reasonable grounds for believing that any recommendation is suitable for their customer. Certified Financial Planners can be held to an even higher standard.

If these financial planners, stockbrokers and financial advisors failed to give proper advice, or failed to give you all the relevant facts about the investments or their fees, they and their companies can be held liable.

Our Experience

If you are the victim of investor fraud or stockbroker misconduct, Gerald S. Clay (Jerry) and Scott I. Batterman, the securities fraud attorneys at Clay Chapman Iwamura Pulice & Nervell, may be able to help you. They have experience representing individual and institutional investors before Federal and State Courts and specialized arbitral tribunals, including the Financial Industry Regulatory Authority. They will analyze your case at no cost, and they accept cases on a contingency fee basis: If we do not collect for you, we do not charge you. Contact us today for more information.