Meyer Wilson

Recovering Losses Caused By Investment Misconduct

Investment Misconduct

Common Questions

What is broker theft?

While most financial advisors are reliable and trustworthy people, some unscrupulous brokers use their position of trust to take advantage of their customers by stealing customers’ money.

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Have you been cold called by a stockbroker?

Sometimes a stockbroker - or even someone simply posing as a stockbroker - will cold call potential investors and attempt to sell them the “next hot stock.” As tempting as these offers may be, they often come with hidden risks.

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What if my broker inappropriately invested solely in oil?

During the rise in oil prices, your broker may have misguided you into investing in this one sector. You may see a decline in value with the oil downturn. Find out what you can do.

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How do I know if an annuity is right for me?

Some brokers and investment advisers recommend annuities solely because they will get a perk or kickback for doing so.

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Is it safe to write checks directly to brokers?

If your investment advisor or broker is asking you to send a check directly to them or a company they control, don't! This could be a sign of investment fraud.

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I have questions about a potential claim against Advanced Equities for stockbroker fraud. How can I get help?

Anyone who believes they may have a claim against a stockbroker or brokerage firm should contact an experienced stockbroker fraud attorney.

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Is it safe to invest in a company after a temporary suspension of trading by the Securities and Exchange Commission?

If the SEC has temporarily suspended a company from trading, it usually means that there is potential fraud or misconduct that could affect investors.

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My broker is trying to pressure me into buying into a structured product that I don't understand. What should I do?

Structured products are becoming more popular, so if your broker has been suggesting that you buy into one, make sure that they fully explain it to you before you invest.

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What are the signs of hedge fund fraud?

Prior investor complaints, history of litigation, pressure to invest, and a lack of consistent audits are all potential indicators of hedge fund fraud.

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What are equity indexed annuities (EIAs)?

An EIA is a contract between an insurance company and an investor. The returns that the investor receives are based on something called an equity index.

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When is an investment "unsuitable" for me?

The same investment can be suitable for one person and unsuitable for another. Your adviser's job is to recommend investments that suit your current needs.

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My broker offered me a fantastic investment, but he says that it's not offered through my brokerage firm and I should just make out the check to him. Should I be worried?

Brokers who ask their clients to write personal checks to them raise some serious red flags. Although there are always exceptions, as a rule, this is something we would recommend against.

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What are the signs of stockbroker misconduct? Is there something I should look for on my account statement?

Some types of misconduct are difficult to notice. Pay attention to your account statements and look for things like unauthorized transactions, an overall decline, and big jumps after you recommended low risk to your broker.

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I've been offered an investment in a private REIT. Is that the same thing as a non-traded REIT?

The two are similar, but not 100% the same. Neither are traded on public exchanges, but they are subject to different levels of regulatory oversight.

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Is there a state or federal law that requires investment advisers to have credentials?

Every state has different requirements for investment advisers, but there is no overarching law regarding credentials.

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What are some of the disadvantages of annuities?

Annuities have both advantages and disadvantages, like most investments. One drawback is that annuities have high yearly expenses that can affect your ROI.

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I was approached by an investment representative who claimed that he was a senior specialist. Is that a legitimate designation?

We recommend never trusting someone solely because of their title. While this may be a legitimate designation at some firms, it may not mean anything in others.

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Are bond funds safe investments?

Every investment carries some degree of risk, bond funds included. A common myth is that bond funds are completely safe, but this is not the case.

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I am considering investing in a reverse convertible. How should I protect myself from loss?

Because reverse convertibles are relatively high risk investments, there are certain steps you can take to shield yourself from loss.

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Is it common for older people to be victims of financial fraud?

Unfortunately, yes. Investment fraudsters typically prey on the elderly because they are generally more susceptible to scams and have more money to steal.

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When Choosing an Attorney, Results Matter

  • $30M
    $30,000,000 Recovered in Confidential Settlement for 100-Year-Old-Widow
  • $10M
    Retirees Recover in Excess of $10,000,000 of Retirement Losses
  • $6.5M
    $6,500,000 Recovered for a Large Group of Individual Investors
  • $5M
    $5,000,000 Recovered for Group of Midwest Clients
  • $3.8M
    Meyer Wilson Recovers More than $3,800,000 for Elderly Victim in Ponzi Scheme Case
  • $3.2M
    $3,200,000 of Losses Recovered by Meyer Wilson for More Than 50 Families of Ponzi Scheme in California

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