represents Texans statewide -
and institutions and individuals nationwide - to recover losses in
their accounts at financial firms.
Our attorneys and staff have over 100 years of combined experience in securities law and in the securities industry. Many of our attorneys and staff are former vice presidents, compliance officers and registered representatives of major securities firms. We have represented corporations, pension funds, credit unions, school districts and other large investors with millions or tens of millions in losses, but we are also dedicated to assisting individual investors who have lost a significant portion of their retirement or other savings. Claims are based on inappropriate actions of investment advisors and their firms, including negligence and unsuitable investments as well as misrepresentation, fraud or theft. We offer a free consultation to all those who contact us through our Website. Se habla espanol. (We serve many Latin investors with claims against U.S. based investment firms.)
From The Blog
- Protect Yourself from Texas Securities Fraud by Making Sure that the Company or Agent that Sells You Annuities Has a Valid Insurance License If you are going to buy annuities in Texas, it is important that you make sure that your agent is licensed with the state and also has a Financial ....
- Court Reinstates Texas Securities Arbitration Award Claimant Leonard Claus was awarded $25,000 by a National Association of Securities Dealers' arbitration panel for his Texas securities arbitration ....
- Frontline Advisors LLC and Frontline Financial, Inc. Propose Texas Securities Fraud Settlement that Includes Permanent NFA Bar The National Futures Association has accepted Frontline Advisors LLC and Frontline Financial, Inc.'s proposal to permanently remove themselves as a ....
- Dallas Securities Attorney and Former SEC Litigator Convicted of Fraud in Pump and Dump Stock Scam A jury has convicted Phillip Windom Offill Jr. of Texas securities fraud. The Dallas lawyer and former SEC trial attorney was found guilty of nine ....
- Texas Class Action Securities Fraud Claim Against Cushing MLP Total Return Fund CEO and CFO Can Go Forward, Says District Court Judge In Texas, a US district court judge has refused to dismiss a class action securities fraud claim against Cushing MLP Total Return Fund CEO Jerry V. ....
- Former Southwest Securities Broker’s Lifetime Industry Bar for Texas Securities Fraud is Affirmed, Says Appeals Court The U.S. Court of Appeals for the Fifth Circuit has affirmed the Securities and Exchange Commission’s lifetime bar against a former Southwest ....
- Dismissal of Lone Star’s $60 Mortgage-Backed Securities Texas Fraud Action Against Barclays is Affirmed by Federal Appeals Court The U.S. Court of Appeals for the Fifth Circuit has affirmed the dismissal of LSF5 Bond Holdings LLC and Lone Star Fund V (U.S.) L.P.’s $60 million ....
- SEC Accuses Austin Advisor, Triton Financial, and Triton Insurance of Texas Securities Fraud Scam Involving Former NFL Football Players The Securities and Exchange Commission has filed charges accusing Austin investment adviser Kurt B. Barton and his two firms, Triton Insurance and ....
Daily Headlines: "Wall Street Fraud!"
Millions of Investors Have Lost Their Life Savings and Retirement Assets!
Yet, accounts properly invested should not have suffered undue losses. Many lives have been unnecessarily destroyed because financial firms misled their clients - and often their own brokers - into improper investments. We step in when retirement assets and savings are lost through unsuitable and high-risk stocks, options, mutual funds - even annuities and bonds! Borrowing on margin often increases the losses. Firms, financial advisors and brokers often shift the blame investors for their own losses. Don't be fooled by these tactics! There are special requirements and duties on members of the financial industry which holds them accountable!
We have fought against the largest financial firms in the world - and they know who we are!
If you feel you may be a victim of Wall Street fraud or negligence contact us for a free consultation.
What is Broker Fraud?
"Broker fraud" includes lying, deceit and theft, but also involves other wrongdoing, including neglect, churning, unauthorized trading, unsuitable investments and other acts of negligence, incompetence and greed by financial advisors, stockbrokers and others in the securities industry. Common broker misconduct.
Regulations and laws have been written to protect investors. Yet, the securities regulators are the "police" the securities industry who issue fines and suspensions. To recover losses investors must file legal claims to recover. Statistics demonstrate that investors are far more likely to recover these losses when represented by experienced attorneys. Because investors have signed account opening documents at financial firms which contain binding arbitration clauses, virtually all claims against the firms must be resolved in securities arbitration instead of court. In Texas all securities arbitration claims are decided in Houston or Dallas! Learn about securities arbitration.
We concentrate our legal practice on representing institutional and individual investors who have incurred significant losses in their investment accounts. Our firm has represented thousands of clients nationwide who were victims of misrepresentation, unsuitable investments, unauthorized trades, commission churning, execution failures, excessive mark-ups, stolen funds, botched transfers, web-broker outages, unregistered brokers, unregistered securities, improper margin liquidations, broker bribes, fraudulent research, "boiler room" and "bucket shop" sales practices, failure to supervise and other wrongful acts. These cases involved stocks, "penny" stocks, bonds, "junk" bonds, warrants, options, mutual funds, REIT's, limited partnerships, derivative securities, commodities and other investments. We have handled other types of cases as well, such as those for investors and minority shareholders, including in closely held companies. More about our firm.