When someone is trading or investing in securities through a broker, he or she expects that broker is acting in good faith and not attempting to advance his or her own financial interests at the investor’s expense. However, it can be difficult to know when a broker’s actions are unethical or unlawful.
This is why we recommend that you reach out to a knowledgeable Peoria securities litigation attorney from our firm. Our legal team at Phillips Law Group have decades of experience protecting the rights of investors throughout Arizona and have recovered over $1 billion in settlements and verdicts for our clients. Founding partner Jeffrey Phillips has represented individuals as lead counsel in over 40 jury trials.
Our initial consultations are free of charge and come with no risk or obligation. If you are eligible to take legal action for securities fraud, there are no upfront service charges. You only pay us if you obtain a recovery.
Call 602-222-222 . We look forward to helping you.
Securities litigation is a multi-faceted and highly specialized area of practice. These cases involve complex securities laws, high stakes and other sensitive matters not easily manageable without legal help. Our attorneys will not know whether your case has merit unless we are able to review your situation.
If you have questions about securities litigation lawsuits, we look forward to providing clear and concise answers. Our firm has helped countless victims who have been wronged or taken advantage of by others.
Contact Phillips Law Group for a free consultation. 602-222-222 .
Our dedicated Peoria securities litigation lawyers are prepared to handle various kinds of cases involving securities fraud, such as:
A fiduciary duty is an obligation to act in the best interest of the investors and not place personal gain ahead of the securities. A breach of fiduciary duty happens when a broker or firm is seeking profit over the client, such as self-dealing, embezzling funds, or failing to disclose important details causing misrepresentation.
This can happen when a broker or firm manipulates the appearance of a security, such as the price or availability of a bond. Market manipulation could be used to convince the investor to make decisions based on false information. Once a security is bought and the price goes up, the broker cashes out shares for profit.
When an individual uses knowledge that is not public to benefit from a transaction, this is known as insider trading. This could include brokers or financial advisors who tip others off about a company’s impending announcement or misappropriate sensitive information from their employers and then trade stock on that information.
This can happen when a broker is constantly buying or trading stocks for his or her own profit in order to obtain a quick commission from each transaction. Churning can put an investor’s money at serious risk. Investors must be able to prove that the broker was in direct control over the account and excessive in his or her actions.
When a broker trades against the wishes and interests of the investor, this is considered unauthorized trading and a securities violation. There are certain exceptions in which a broker may not need to get a client’s specific consent to make a trade as it is sometimes a part of his or her job.
Brokers could be held liable for any actions that put self-interests above those of their clients, such as excessively trading stocks to create additional broker fees or making inappropriate investments for their clients.
Have you suffered a significant loss on your investment? If so, you could be a victim of securities fraud. Our lawyers at Phillips Law Group may be able to help you recover compensation from the broker or firm responsible for your losses. Learn more by scheduling a free and confidential consultation.
U.S. securities laws are highly technical and challenging for the average person. Having a lawyer who is well-versed in securities litigation and regularly manages claims brought against negligent brokers, firms and other financial advisors could be beneficial to a case.
The Peoria securities litigation lawyers from our firm have presented cases in numerous state and federal courts as well as before the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and other regulatory bodies.
We have also handled a wide range of financial investments, from hedge funds and partnerships to structure projects and mortgage-backed securities. If you have a case, our lawyers are ready to protect your interests.
Securities fraud laws in Arizona prohibits certain behavior during any transactions involving the sale or purchase of securities. These include the following:
On a federal level, the SEC establishes and enforces securities laws, while on a state level, the Securities Division, which is part of the Arizona Corporation Commission, is responsible for investigating investor complaints and overseeing the licensing and registration of both securities and financial advisors.
If you have suffered a securities violation, call our legal team for help.
For nearly three decades, our firm has successfully recovered over $1 billion compensation on behalf of our clients in Maricopa and Yavapai county and across the state of Arizona.
We understand what it takes to build a strong case for compensation for securities fraud victims. A reputable Peoria securities litigation lawyer at Phillips Law Group is standing by to take your call. Our consultations are free of charge and there are no upfront fees for our services. You only pay us if we recover compensation for you.
Call 602-222-222 to learn more about your legal options.
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