LAWSUITS NEWS & LEGAL INFORMATION
Securities Class Action Lawsuits, Stock Lawsuits, Securities Fraud Lawsuits
Securities fraud lawsuits and stock lawsuits have been filed against numerous financial firms, stockbrokers, financial advisers and companies alleging fraud or other misconduct. These allegations include claims that the issuers of securities have misled investors regarding the value of their investments, that stockbrokers or financial advisers acted improperly in managing clients' accounts or that companies that offer employee stock options or benefits plans failed to act in the best interests of plan participants. In some cases, investors can file securities class action lawsuits; in other cases, investors must file an arbitration if they hope to recover their losses.
FREE CASE EVALUATION
Send your securities claim to a Lawyer who will review your claim at NO COST or obligation.
Get Legal Help Now
Get Legal Help Now
Securities and Stock Fraud

Exchange Traded Funds
Companies that issued Exchange Traded Funds (ETFs) face lawsuits alleging that they did not adequately disclose the risks associated with those ETFs in their prospectus and registration filings with the Securities and Exchange Commission (SEC). In June, 2009, the Financial Industry Regulatory Authority (FINRA) issued a regulatory warning regarding leveraged and inverse ETFs, noting that the ETFs are typically not suitable for retail investors who planned to hold them for more than one trading session.Auction Rate Securities
Investors who put their money in Auction Rate Securities (ARS) have filed lawsuits alleging that they were told the securities were a safe, liquid investment. However, when the ARS market was frozen, many investors found they could not sell their Auction Rate Securities. Some companies have settled claims with clients and agreed to purchase back the Auction Rate Securities.Stockbroker Fraud and Stockbroker Arbitration

Clients who believe their stockbroker has acted improperly may be able to file an arbitration against the broker and, possibly, the financial firm the broker works for.
Stock Options and ERISA Complaints

Issues involved in ERISA include wrongfully canceling or breaching employee stock options, denying an employee rights granted by a Stock Option Agreement, misrepresenting the value of the stock, failing to act in the best interests of stock option plans, failing to act prudently in conducting and managing investments or lying about the number of options employees will be given. Furthermore, it is a violation of ERISA for an employer to take deductions from an employee's paycheck for benefits but then not make those payments into the benefits plan.
Under ERISA, it is illegal for an employer to "discharge, fine, suspend, expel, discipline, or discriminate against a participant or beneficiary for exercising any right to which he is entitled under the provisions of an employee benefit plan…" Claims have been made alleging that employees were terminated or discriminated against when the employer suspected that the employee was about to make a claim under a benefits plan. In such situations, the employee must prove that the action taken against him was done so primarily to prevent him from accessing benefits and not that the loss of benefits was simply a consequence of the action taken.
Companies that have had ERISA complaints filed against them include YRC Worldwide Inc (concerning the Yellow Freight Pension Plan), Motorola and Sterling Financial Corporation.
SECURITIES HOT ISSUES
- Employee Retirement Income Security Act Violations
- Elder Abuse financial abuse, nursing home abuse, and scams that cause harm to a vulnerable elder
- Stockbrokers and Financial Advisers alleging careless mistakes or intentional fraud.
SECURITIES LAWSUITS
- Employee Retirement Income Security Act Violations
- Tesla Stock Lawsuits Tied to Musk Tweets
- Securities/Stocks alledging false statements and stock fraud lead to financial losses.
FEATURED LAW FIRM
Established in 1860, Batson Nolan is the oldest and one of the most respected law firms in TN having top personal injury lawyers, divorce attorneys and criminal defense lawyers. An office in Springfie
CONTACT THIS LAWYER
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