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What is Securities Fraud?

"The market is a place set apart where men may deceive each other!"
Diogenes Laertius (Circa 200)

Have you been the victim of bad investment advice?
Did your stockbroker recommend risky investments without explaining the risks?
Did your stockbroker make trades without your understanding or authorization?
Did your stockbroker excessively trade your account?

Securities investing and trading is carefully regulated
by rules and laws for the protection of public investors.
The violation of these rules, particularly through various deceptive actions and schemes
to cheat or take advantage of investors, is commonly known as securities fraud.

If you believe that you may have been a victim of securities fraud,
you have certain rights which you should be aware of,
rights which may provide you an opportunity to recover your losses
from your stockbroker or brokerage firm.

Most investors who have been defrauded
do not know what happened to their investments until it is too late.
But even after the losses have occurred,
the law provides mechanisms for investors to recover their losses
which were caused by a stockbroker's misrepresentations or abuse of the account.

Stockbrokers and brokerage firms have certain obligations and duties to their customers.
And investors have a right of recourse if their account has been abused
or if they have been defrauded by an investment advisor.
An investor who believes that he or she may have been the victim of an
unscrupulous stockbroker should consult with an attorney
to learn more about their rights under the circumstances.

Most investment advisors and stockbrokers are honest,
decent individuals who follow the rules of the securities industry
and provide a valuable service to the public.
Unfortunately there are some unethical and dishonest investment advisors,
and there are some brokerage firms that do not supervise their brokers
and accounts as carefully as they are required.

Hopefully, a better informed investor will be better able to protect himself,
evaluate what has happened in an account,
and have some idea what might be done about it!

All investors should be aware of their rights
in order to better protect themselves and to have a higher level of awareness
of the standards to be expected in an investment relationship.

Many stockbroker/customer disputes might be avoided by a better informed
investor going into the relationship with his eyes open and knowing his rights!

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