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Securities fraud occurs when for the purposes of financial gain a financial services person or company pressures or misleads an investor into investing more than the investor might not otherwise invest or breaches the fiduciary duty by not handling the investor’s accounts and investments in the manner instructed. The investment industry is regulated by the Security and Exchanges Commission, and the Financial Industry Regulatory Authority administers a dispute resolution forum for investors and advisers.
The securities fraud is punishable by criminal and civil penalties, including imprisonment and fines.
If you are being investigated for securities fraud or been charged with violations, you may need to consult an attorney experienced in securities law who can:
If you believe you have experienced securities fraud, you may want to retain legal counsel to: