INVESTMENT ADVISOR MISCONDUCT
An investment advisor is a professional who renders investment advice for a fee. Investment advisors generally have
powers of attorney, or discretion, over client accounts and have a fiduciary duty to act in the best interest of each client.
Investment advisors sometimes breach this fiduciary duty and violate legal and ethical responsibilities to their clients.
Contact us by e-mail or at (800) 719-4889 if you are in need of legal advice on an investment advisor misconduct issue.
This may be a good time to discuss the remedies that may be available to you if your investment losses are due to such
fraud or other misconduct.
Investment advisor misconduct includes:
In each of these cases, clients who have suffered losses may recover these funds in arbitration. Not every loss, of course,
is caused by investment advisor misconduct, but clients who suspect they may be victims of misconduct should have
qualified legal counsel investigate the matter on their behalf.
Investment Adviser Lawyers
We have extensive experience handling securities matters and representing private investors. We can also present the
investor's case effectively before the NASD, NYSE, or any other tribunal.
Contact us at (800) 719-4889 or by e-mail if you need help dealing with an investment advisor misconduct matter.
Our offices are located in Boston, Massachusetts. We invite you to contact us if you are looking for a Boston corporate
lawyer. We strongly encourage you to speak to an experienced attorney about your business formation issues. You can
contact us if you are looking for a Boston corporate lawyer by visiting our current website at SMLawGroup.com. We are
also Boston divorce lawyers.
An investment advisor is a professional who renders investment advice for a fee. Investment advisors generally have
powers of attorney, or discretion, over client accounts and have a fiduciary duty to act in the best interest of each client.
Investment advisors sometimes breach this fiduciary duty and violate legal and ethical responsibilities to their clients.
Contact us by e-mail or at (800) 719-4889 if you are in need of legal advice on an investment advisor misconduct issue.
This may be a good time to discuss the remedies that may be available to you if your investment losses are due to such
fraud or other misconduct.
Investment advisor misconduct includes:
- Failure to diversify: failing to sufficiently diversify a client's account to control risk and avoid excessive loss, whether
fraudulently or negligently. - Misrepresentation & omissions: misrepresenting or omitting the characteristics of certain investments to the clients.
- Suitability: recommending investments that are not suitable for a particular client's set of circumstances, including
age, family situation, and financial assets. - Failure to follow instructions regarding the purchase or sale of stock
- High-pressure sales practices: boiler room tactics that involve pressuring a client to buy or sell a particular security.
- Stock manipulation: manipulating stock prices for personal or corporate gain in violation of state and federal law.
- Variable annuities fraud, including recommending unsuitable annuities to increase the broker's commissions, not
completely explaining the long-term investment characteristics of annuities, or failing to completely advise investors
about the associated risks. - Criminal or fraudulent activity: including theft, forgery or embezzlement.
- Negligence: failing to meet the proper standard of care with regard to the account.
In each of these cases, clients who have suffered losses may recover these funds in arbitration. Not every loss, of course,
is caused by investment advisor misconduct, but clients who suspect they may be victims of misconduct should have
qualified legal counsel investigate the matter on their behalf.
Investment Adviser Lawyers
We have extensive experience handling securities matters and representing private investors. We can also present the
investor's case effectively before the NASD, NYSE, or any other tribunal.
Contact us at (800) 719-4889 or by e-mail if you need help dealing with an investment advisor misconduct matter.
Our offices are located in Boston, Massachusetts. We invite you to contact us if you are looking for a Boston corporate
lawyer. We strongly encourage you to speak to an experienced attorney about your business formation issues. You can
contact us if you are looking for a Boston corporate lawyer by visiting our current website at SMLawGroup.com. We are
also Boston divorce lawyers.
Advertising. In accordance with rules established by the Supreme Judicial Court of Massachusetts. This web site must be labeled
"advertising." It is designed to provide general information for clients and friends of the firm and should not be construed as legal advice, or
legal opinion on any specific facts or circumstances. This web site is designed for general information only. Unless and until you enter into a
formal agreement with Attorney Mwangi, he is not your attorney and you do not have an attorney-client relationship with him. All Rights
Reserved.
"advertising." It is designed to provide general information for clients and friends of the firm and should not be construed as legal advice, or
legal opinion on any specific facts or circumstances. This web site is designed for general information only. Unless and until you enter into a
formal agreement with Attorney Mwangi, he is not your attorney and you do not have an attorney-client relationship with him. All Rights
Reserved.
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