Investment Fraud

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When you purchase goods or services, your decision to buy is based on representations made by the supplier. You need to be able to depend on those representations being accurate.

When a provider of goods or services misrepresents an important aspect of their product, such as price, this is considered a deceptive trade practice.

Investment Fraud

Stock brokers have rules and duties to which they are bound. Failure to abide by these rules could be an indicator of misconduct. It is important to understand that a significant drop in an investment — even a poor investment — is not the sole indicator of misconduct.

Broker and Dealer Fraud

Investment fraud and broker fraud cases frequently involve issues such as:

  • breach of fiduciary duty,
  • negligence on the part of the broker,
  • unauthorized trading or trading without a license,
  • and churning – making frequent trades to generate commission.

When a broker, dealer, or other individual is entrusted to recommend investments, maintain investment accounts, or handle any other aspect of client investing, a high standard of diligence is expected. Anything less may be considered negligence.

Protect Yourself & Your Business Today

If you believe you have been defrauded, take action immediately. Call us at 801-854-1200 or simply contact us online to schedule your free initial consultation.