Securities Law Violations Appeals

There are three main branches of securities law, regulatory work, transnational work and litigation. Securities lawyers who do regulatory work may help clients deal with issues involving the Securities and Exchange Commission (SEC) regulations, the National Association of Securities Dealers, the New York Stock Exchange and other laws that protect the interests of investors. Our firm deals with the legal issues involved in mergers and acquisitions, initial public offerings (IPOs) and mutual funds. In addition we work in litigation to handle both civil and criminal lawsuits and enforcement actions.

 

 

Our securities federal appeal lawyers bring a new perspective to our clients’ legal team. We also work with the trial counsel to establish all the facts about a case that we are about to handle. If you are planning to appeal a conviction for securities fraud, contact us immediately.

Taking Legal Recourse to Financial and Investment Woes and Fraudulence

In the world of investment and share trading, you may come across unscrupulous agents or firms. If you have recently faced a significant loss of your funds in the market due to the dubious agents, you have become convicted of securities fraud. We are Brownstone Appeal Lawyers, a team of highly energetic and tactful attorneys working out solutions and fighting civil and criminal appeals at the courts. Our team of federal crime appeals attorneysworks through the case and go in detail to examine the situation and find every little evidence to help in securing your win. Our securities attorneys are veterans in this field. We understand the need for substantial evidence to build a strong appeal for our clients. This has been one of the main contributing factors for our success.

All About the Types of Securities and Investment Fraud:

·         Failure to Commit to Fiduciary Duties of a Broker: Financial adviser may be offering investment advice and even possess contracts to property or bonds they do not own. They will need to follow the rules and offer the most suitable investment advice to their client. If they fail to do their fiduciary duty, they are breaching their duty.

·         Frauds Related to Bonds: There can be frauds as per Section 10(b) and as per Section 11. Cases that fall under these two sections are diverse. Section 11 refers to the scams related to the public offering of stocks. The cases against companies that raise stock and capital in the market also fall under Section 11.

Securities Fraud is not uncommon and not unheard of, and when companies cheat gullible investors, it is pitiable. Corporate bonds or agency bonds or federal bonds are already there as options. It is entirely optional for investors to choose the companies they wish to invest in and generate high fixed income from these investments.

·         Junk Bond Frauds: While some investors might buy individually, some others may buy bond pools. This works more or less like an MF investment, and there is an immense risk if you choose to take the risk. Unfortunately, there is no minimum point to which the bonds and their prices can fall. This is something companies should warn the investors before seeking their money for investment. Sometimes, the financial advisers may not have warned their client investors of the risks.

The financial advisers or companies who sell their high-risk bonds as high-interest bonds and cheating investors can face a penalty. This kind of misconduct is what we specialize in dealing all the time. Our securities fraud appeals lawyers will understand and go to the depths of the case for you. Only after arranging all the papers and collecting all the information regarding will they appeal at the federal or state courts.

·         Common Investment Frauds: There are scores of investment frauds like not warning investors against Ponzi scams, non-traded REIT’s, variable annuities, junk, and structured notes scams. The Financial Industry Regulatory Authority (FINRA) has laid down rules to the investment firms to ensure they oversee there is no case of fraudulent business. While small and emerging investment firms might be cautious about their agents, it is a matter of integrity.

Steps to Supervise and Keep Security Losses in Check:

·         Some investment agencies conduct regular audits where they analyze every transaction. However, many ignore it just giving free rein to the financial advisors.

·         Failure to investigate any investors’ accusations

·         Lackadaisical behavior of recruiting licensed brokers.

·         There may be many companies which may not be giving priorities to financial advisors’ training on integrity and the seriousness of working as per ethics.

·         Margin Trading: Financial Fraud Attorneys from Brownstone have gained stronghold thanks to the cases that we have dealt so far. We know that many financial advisors might be encouraging investors to take margin trading or even taking a loan from brokers against the securities as collateral. The investors should ideally receive a margin disclosure statement with clear notes regarding the amount taken as loan and the interest to pay. If they have not given you any written statement to get margin trading, contact us immediately.

·         Misinterpretation or Omission of Facts: They might skip mentioning the part of investors falling in a trap of further high-risk stocks. This is why we, ensure that when our clients approach us, to get all the relevant materials are available for filing the case. Sometimes advisors from busy firms often ‘assume’ and proceed with the trading process. Whether they do it intentionally or unintentionally, they are definitely wrong. So, if you have been duped due to the omission or misinterpretation of the facts relating to the trading, contact our Investment Fraud Lawyers.

·         REIT Issues: REIT is a way of generating income for investors by owning real estate property. The firm that does REIT must pool in all the cash that investors have given to create a set of properties. On generating revenue from the property, the REIT company must give away majority as dividends to the investors. While the REIT shares are registered on a national securities exchange, a few are not. The investors with these non traded REITs must sell them slashing their rates by a significant margin. They also mean that the investors may not be able to access the money they have put in REIT because of its illiquidity.

·         Any Security Violation Issue: We, from Brownstone, have teams working in the New York Stock Exchange, and hence our know-how is undeniable. Our Security attorneys also pay close attention and work in the preparation of drafts for Mergers and acquisition happening in these parts. We take our work in fighting litigation in real estate based security cases and frauds. We pay close attention to the legalities involved in the IPOs, mutual funds and more. Our attorneys keep getting cases from investors who claim they lose a lot of money and that too while negotiating the price of real estate property.

·         Preferred Securities: Those who are unaware of the ways investment work, often prefer to take low-risk company stocks. This directly means low volatility and returns. But even then it is the responsibility of not just informing the same to the investors by the financial advisors. If they do not do so, they are causing a problem and a breach of conduct.

·         Too Much Concentration of Preferred Securities and Stocks: We also come across companies that try to artificially increase the rates of the stocks to bring in a thrill. However, these practices are only going to be there as long as someone does not notice it and complain. As an investor, you might find that the prices of the stocks are falling at high speed. This will be not creating any strong portfolio for the investors. All of this information if your financial advisor has not suggested to you, approach our securities fraud appeals lawyers. We have the right technique of taking the most spontaneous action on the case.

·         Too Much of Trading: Our teams have the skill of managing these types of cases and the procedure and legalities that are involved in the same. Many investors have this issue of doing much of purchase and sales of stocks and resources. If this is unethical, it is also even more so when the advisors do the same without throwing much light to the investors.

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