What Constitutes Securities Fraud?

“Securities fraud” is a term frequently bandied about in the media, and has come to mean different things to different people, depending on who is using it.

 

To clarify, virtually all brokers and brokerage firms are regulated by FINRA (f/k/a NASD), and most allegations of fraud may be pursued under state securities statutes, the Securities Exchange Act of 1934, and FINRA rules.  Many lawyers have a passing familiarity with certain aspects of these laws, but there are very few attorneys who possess a detailed appreciation for how these legal principles operate in conjunction with one another.  Moreover, only a small percentage of lawyers have a genuine understanding of how the securities industry actually operates on a pragmatic level.  Given his education, experience and background, Chris Bebel possesses a structural advantage over other lawyers.  Consequently, he is uniquely situated to handle a wide array of securities fraud cases.

The phrase “securities fraud” is often utilized to refer to numerous types of dishonesty occurring in connection with the sale of an investment product. Some of the most frequent forms of securities fraud encompass:

  • Outright Falsities
  • Material Omissions (Half-Truths)
  • Unrealistic Profitability Predictions
  • Due Diligence Investigatory Failures
  • Unsuitable Investments
  • Unauthorized Trading
  • Breach of Fiduciary Duty
  • Excessive Trading

For free initial consultation with a renowned authority in the securities fraud field, contact Chris Bebel, a seasoned specialist who previously served as an enforcement lawyer and prosecutor for the SEC and the U.S. Department of Justice, along with the NASD (n/k/a FINRA). Contact the firm to arrange for a confidential consultation regarding your securities case.

Chris Bebel Conducts a Detailed Case Analysis

Before accepting any case, Mr. Bebel conducts a detailed case analysis to ensure that the client does, in fact, have a meritorious case with a good chance of recovery.  He is careful to demonstrate the utmost integrity and care when representing clients who have suffered a loss due to securities fraud.  If you (or your elderly parents) have suffered losses on account of outright falsities or half-truths, and are thus considering a lawsuit, contact Chris Bebel.

Arbitration or Litigation

Before deciding on a course of action that is calculated to achieve a recovery of investment losses which have been sustained, you should discuss your options with a knowledgeable, highly experienced securities fraud attorney.  In some instances, arbitration may be required.  However, depending on the circumstances, you may be able to pursue a recovery in state or federal court. Framed in general terms, the costs and the time commitments associated with a case that has been filed in court will be higher – but the odds of a larger recovery will also be greater.  Contact the firm for a free initial consultation regarding your securities fraud case.