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Securities/Stock Fraud

Stock fraud occurs when the issuer of the security makes false statements about the company's status or fails to disclose important facts that may affect stock value, causing investors to buy or sell stocks under false pretenses. Claims can be brought against the issuer of the security, i.e. the public company, the company's officers, directors, or others involved in the violation, including stock brokers, underwriters, or auditors.

Stock Broker Fraud / Arbitration

There are a number of ways a Stock Broker or Financial Advisor can break laws surrounding investment practices. Stockbroker fraud or negligence can include misrepresenting stocks or risks, recommending unsuitable stocks, charging excessive transaction fees, or failing to diversify an investor's portfolio. It is a stockbroker's responsibility to consider their client's best interest in all investment transactions.

Stock Options/ERISA (Employee Retirement Income Security Act)

ERISA regulates employee benefit and pension plans; employee benefits and retirement plans can be tied into stock options. Employees and retired employees can file a lawsuit against a company and/or its officers for breaching fiduciary responsibilities and putting stock options and pension plans at risk.

SECURITIES HOT ISSUES

Employee Stock Options Alleged misrepresentations to employees.

Exchange Traded Funds (ETF) alleging companies issuing ETFs violated securities laws.

Stockbrokers and Financial Advisers alleging careless mistakes or intentional fraud.

SECURITIES ARTICLES AND INTERVIEWS


SECURITIES EMERGING ISSUES

Nokia Corporation 401(k) / ERISA Stock Fraud

Auction Rate Securities ARS stocks purchased from a brokerage

Employee Stock Options Alleged misrepresentations to employees.


SECURITIES LAW SUITS FILED

Nokia Corporation NOK

Exchange Traded Funds (ETF) alleging companies issuing ETFs violated securities laws.

Motorola MOT


SECURITIES SETTLEMENTS

Stone Energy Corporation Agrees Preliminary $10,500,000 settlement

Schering-Plough Settles Clarinex Class Action for $165 Million

H&R Block Reaches Multi-Million Dollar Settlement Over Fraudulent IRAs


YOUR STORIES


IN YOUR OWN WORDS

Securities Legal Help

If you or a loved one has suffered losses from securities fraud, please click the link below to send your complaint to a lawyer to evaluate your claim at no cost or obligation.

Updated on Jan-13-10

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