Signs You may Have a Securities Claim
Simply suffering a financial loss is not enough to have a viable claim. You must also have facts which show that your brokerage firm (or its stockbroker and/or its manager) either violated state or federal securities laws, committed investment fraud, was negligent or otherwise failed to comply with the regulations of industry watchdogs such as the Securities and Exchange Commission (SEC) or the Financial Industry Regulatory Authority (FINRA). The following is just a partial list of facts which may indicate investment fraud or investment negligence. This list is offered for informational purposes and is not intended to be a substitute for the professional judgment of an experienced securities attorney.
If you have significant losses and any of the above potential abuses happened to you, contact The Prosser Law Firm for a free, informative consultation at 901-820-4433.