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Not every investment loss is a sign of fraud, and seeing losses may not
necessarily be a sign that you an attorney. Depending on your situation,
your losses may have been the result of:
All investments come with some element of risk, and the unfortunate truth
is that sometimes your investments just don’t perform the way you
hope. Experiencing some losses is a normal and natural part of the process
and can be chalked up to market changes or just pure “bad luck.”
Your broker has a duty to recommend investments that are right for your
financial goals and risk tolerance. If you suspect that your broker made
recommendation without your best interests in mind or purposely misrepresented
an investment, then it is worth working with a financial professional
who can help you determine whether those actions constitute fraud or misconduct.
If you have become the victim of investment fraud, it could be difficult
to track down the facts. In many cases, victims receive false account
statements or documents and don’t discover the scam until it’s
too late and their cash is gone. And these are only a few of the possibilities.
Determining if your investment losses were really caused by investment
fraud or stockbroker misconduct can be tricky, and it often takes a trained
eye to spot wrongdoing. Review your investment documents and statements,
and be on the lookout for any suspicious activity or things that just
don’t seem to add up. If you’re not sure, or if you feel like
you need help, speak with a trusted financial professional or investment
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Investment Misconduct Blog
Texas-based financial advisor David Wayne Krumrey (CRD# 4121845) was terminated from the brokerage firm of Oppenheimer & Company relating to allegations that he violated ...
Bernie Madoff was arrested for stealing $64.8 billion from investors in the single largest Ponzi scheme in United States history less than a decade ago, but Americans are ...
The Financial Industry Regulatory Authority (FINRA) permanently barred registered representative Lisa Lowi for failing to provide on-the-record testimony sought by the ...