Representing Investors

United States Securities Investor Attorneys

It’s a common story. Your broker pushed you toward a certain investment telling you it’s a “can’t miss” deal. Three months later, that “can’t miss” prospect hits the skids and you’re out $100,000. Did your broker misrepresent the risk involved, demonstrate a breach of trust, and in the process break the law? Or, did your investment just go south?

This type of dispute requires the expertise of an experienced security arbitration lawyer who can uncover negligent trading practices and unscrupulous behavior and hold brokers accountable.

If you’ve lost thousands or even millions of dollars and you feel that negligence or unethical conduct by a broker, investment advisor, or brokerage firm is to blame, contact the experienced United States securities investor attorneys at the New York law firm of Kaufmann Gildin & Robbins LLP.

Contact us today if your feel you have been victimized by any of the following events or circumstances:

  • You have been the victim of unsuitable trading – that is, you were sold securities too risky for you given your experience, income, net worth and investment objectives.
  • You sustained losses due to unauthorized trading or discretionary trading in a non-discretionary account. In other words, your broker traded your account without your approval.
  • You lost money when your broker “churned” your account by buying and selling stocks to an excessive degree, generating excessive commissions for himself and his firm.
  • You bought a stock based on broker’s misrepresentation or omission of material facts.
  • Your broker engaged in a breach of fiduciary duty by managing your account in an inappropriate manner by, for example, encouraging you to over-leverage your account through margin purchases or over-concentrate your portfolio in one stock or one sector of the market.
  • Perhaps you’ve been a victim of order failure – that is, your brokerage firm failed to execute the specific trade you placed with him or her.
  • Your brokerage firm failed to properly supervise its brokers, resulting in inappropriate broker advice or unethical behavior.
  • You were the victim of a Ponzi scheme, pyramid scheme or “selling away”, where the broker never invested in the promised security, paying you promised returns from the investment dollars of others and not from the non-existent investment.
  • The price of your security was manipulated by the broker or the firm.
  • You were a victim of criminal activity – such as forgery, larceny or conspiracy.

As investors, we all understand the risks involved with investing our hard-earned money. Before making an investment, you should demand to be made an “informed investor” – informed of the truth at the time of the trade.

The fact is, misconduct happens and can directly lead to financial loss and financial ruin. If it happened to you, count on the skilled United States securities investor attorneys atKaufmann Gildin & Robbins LLP to pursue justice on your behalf and to help you recover the losses you’ve suffered as a result of misconduct or unethical behavior.

Contact us today. Our lawyers provide representation aimed at holding negligent and unscrupulous brokers and brokerage firms responsible for the harm they have inflicted to your financial well-being.

The New York law firm of Kaufmann Gildin & Robbins LLP provides astute advice and counsel and dedicated, effective representation to investors and brokers throughout New York City, the United States, and around the world.