Although the process may seem complex, or intimidating, we make it easier for investors. Often times investors are unaware of the abuse committed by their trusted stock broker. These kinds of stock brokers will use every tool in their arsenal to manipulate, deceive, control, and extort money from their clients. Our firm provides a FREE analysis of your brokerage account statements in order to reveal the truth of where your hard earned money is going. Coinbase Stock Loss Lawyer of trades can dissolve an investor’s account within months and be disguised as “market-related” losses. At Shepherd, Smith, Edwards & Kantas, LLP, our team of dedicated securities lawyers have extensive experience in helping investors who put their trust and financial security in the hands of their financial advisor and brokerage firm.

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High yield junk bonds have significantly more risk than investment grade bonds. In addition, junk bonds typically move up and down with stocks and provide little or no downside protection when the stock market is declining. I think by and large most financial advisors are honest people who want to help their clients, but sometimes they make mistakes, and when they do, it’s very difficult for them to admit to it. In cases where significant investment losses occur due to the negligent or unlawful actions of a broker, advisor, or investment firm, investors have the right to sue in order to recover their investment losses.

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Also like debt investments, preferred shares offer a fixed dividend payment similar to bonds. However, like equity, preferred stock can fluctuate in value, especially when the value of the issuing firm is low. Preferred stocks are given ratings similar to bond ratings but preferred ratings are almost always lower than bond ratings because preferred securities do not have the same guarantees for interest payments.

Wall Street Investment Fraud Lawyer Blog

Regulation D allows certain investments to be exempt from these registration requirements. A fixed annuity is not tied to the market and provides steady payments at a fixed rate. On the other hand, a variable annuity would be tied to some part of the market, usually an index. Agency Securities”Agencies” is a term used to describe bonds issued or guaranteed by U.S. federal government agencies. They also describe bonds issued by government-sponsored enterprises —corporations created by Congress to foster a public purpose.

Recovering Fraudulent Losses in Mediation with the Help of a Stock Broker Fraud Lawyer

The total losses you sustained due to the possible fraud/negligence. Investors can use the following resources to check the credentials of a broker or firm before trusting them with any money. Investors can protect themselves by keeping detailed records, learning how to read your statements and keeping close tabs on what your broker is doing. It is also not a good idea to authorize your broker for unlimited trading in your account. Your broker has over-concentrated your portfolio in one particular investment.

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