National Investment Fraud Law Firm With a 98% Success Rate for Investors
Former Wall Street defense lawyers helping investors nationwide recover losses from broker misconduct, unsuitable investments, and advisor fraud.
Our Investment Fraud Lawyers:
- 98% success rate in investor claims (FINRA, securities arbitration, and litigation)
- 95+ years of combined securities law experience.
- Involved in Over $520 Million of Securities Cases
- Top 2% peer‑reviewed (Martindale‑Hubbell AV Preeminent), Super Lawyers‑designated.
Call us at 1-888-885-7162 or fill out the free case review form to discuss all your options and how much you can recover. You will speak directly with an experienced securities lawyer who understands the complexities of investment fraud cases.
No Recovery, No Fee. Nationwide Service.
Investment Fraud Lawyers Recovering Lost Funds for Defrauded Investors
Haselkorn & Thibaut, P.A. is a national investment fraud and securities litigation firm dedicated to helping investors recover losses caused by broker misconduct, unsuitable investment recommendations, and fraudulent schemes. With a 98% success rate across hundreds of FINRA arbitrations and court cases, our attorneys bring more than 95 years of combined securities law experience to every matter, and have been involved in over 520 million dollars in securities‑related cases. Ranked in the top 2% of peer‑reviewed firms and recognized with Martindale‑Hubbell AV Preeminent and Super Lawyers honors, we also maintain 5‑star online client ratings reflecting our focus on results and client service. From offices in Florida, New York, Arizona, Texas, and North Carolina, we represent individual investors, families, and trusts nationwide in claims against brokerage firms and financial advisors.
If you lost money due to suspected investment fraud or advisor misconduct, you may be able to pursue recovery through FINRA arbitration or litigation; contact us today for a free, confidential case evaluation — in most investor cases, there is no fee unless we recover funds for you.
Client Reviews
Financial Advisor Investment Fraud
Investment fraud happens when a broker or financial advisor uses deceptive practices or misrepresentation to sell or manage investments, often causing serious losses for investors. Investors should not have to pay for fraud, bad advice, or mistakes by financial advisors and broker‑dealers. Our national investment fraud and securities litigation team focuses on helping investors understand what went wrong and pursue recovery from the responsible firms.
With an approximately 98% success rate across hundreds of FINRA arbitrations and court cases, our attorneys bring more than 95 years of combined securities law experience to every matter and have been involved in over 520 million dollars in securities‑related cases. Ranked in the top 2% of peer‑reviewed firms and recognized with Martindale‑Hubbell AV Preeminent and Super Lawyers honors, we also maintain 5‑star client ratings that reflect our focus on results and client service.
We routinely handle claims involving securities fraud, hedge fund fraud, complex or high‑risk products, Ponzi‑type schemes, and other forms of broker misconduct. Our lawyers understand the rules enforced by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC), and how violations of those rules can lead to recoverable losses for investors. Even with these safeguards in place, investment fraud still occurs, which is why it is critical for investors to stay alert and seek answers when something does not look right.
Investment losses often look simple on the surface but can hide complex legal and regulatory issues that may support claims for securities fraud, negligence, or failure to supervise. Many of our clients come to us knowing only that something was not right and that their retirement or financial security may be in jeopardy. If you suspect you are a victim of investment fraud or broker misconduct, speak with a lawyer as soon as possible — there is limited time to bring a claim, and in most investor cases, we do not charge a fee unless we recover funds for you.
Why Clients Choose Our Investment Fraud Attorneys
With over 95+ years of experience and millions recovered, our investment fraud lawyers fight aggressively to recover losses for investors. As experienced securities lawyers, we have a proven track record of representing investors and understanding the tactics used by broker-dealers, giving us a unique advantage in advocating for abused investors.
The only thing worse than losing investment money is not recovering money when you could have recovered funds. The right investment fraud lawyer will take fast legal action that includes FINRA Arbitration or filing complaints with FINRA and SEC. Although the process may seem complex, or intimidating, we make it easier for investors.
Types of Investment Fraud
There are several types of investment fraud that investors should be aware of. Securities fraud is one of the most common, involving the misrepresentation or omission of material facts about an investment.
Other prevalent forms include Ponzi schemes, where returns are paid to earlier investors using the capital of new investors, and excessive trading (also known as churning), where financial advisors or broker dealers make unnecessary trades to generate commissions.
Unauthorized trading, where investments are bought or sold without the investor’s consent, is another serious violation.
Investment fraud can occur across a variety of investment vehicles, including stocks, bonds, mutual funds, and alternative investments. Financial advisors and broker dealers may engage in fraudulent activities that put clients at risk, especially when high-pressure sales tactics or unsolicited investment opportunities are involved.
Being aware of these red flags and understanding the different types of investment fraud can help investors protect themselves from significant financial harm.
Signs of Investment Fraud
Investing your hard-earned money can be exciting, but it’s important to keep an eye out for potential red flags. Unfortunately, not all financial advisors have your best interests in mind, and some financial professionals may try to lure you in with promises of guaranteed returns or complex investment strategies that sound too good to be true.
Examples of broker misconduct and deceptive practice include excessive trading (churning) to generate commissions, or recommending investments that are not suitable for your financial situation.
Beware of high-pressure sales tactics and unsolicited investment opportunities that could be a sign of investment fraud. Recommending unsuitable investments is a common tactic in investment fraud and can lead to significant losses for clients. And if a financial advisor is being secretive or evasive about their investment practices, it’s time to ask questions.
Remember, a legitimate financial advisor should be transparent and able to explain their investment strategies in a way that you can understand. By being vigilant and staying informed, you can make sound investment decisions that help you achieve your financial goals.
Investment Fraud Red Flags
High-pressure sales are common in investment fraud.
Promises of little to no risk. The truth is that every investment has risk, from government bonds to speculative high-tech stocks. Investors are always on the lookout for investment opportunities that will increase their returns while minimizing risk. However, investment frauds will often trumpet the safety of their investment opportunities. They will often make promises of significant profits without underlying risk. Be wary of anyone who offers an investment that promises great returns with minimal risk.
Overly complex or vague descriptions of how the investment generates a return.
Unrealistic guarantees of significant returns in short periods of time.
Unauthorized trading of investments.
Buying and selling investments such as commission-based mutual funds.
Avoiding questions and requests for documentation.
Lack of licenses and certifications.
Difficulty cashing out.
Alternative investments, including real estate investment trusts (REITs) and private placements, are often high-risk and can be associated with fraud due to their illiquidity and lack of transparency.
Private placements are unregistered securities that may lack proper oversight, making them susceptible to fraudulent activity and investment claims.
Ponzi scheme is a classic example of investment fraud, where returns are paid to earlier investors using the capital of new investors rather than legitimate profits.
The Importance of Due Diligence
Due diligence is an essential safeguard for anyone considering an investment, serving as the first line of defense against investment fraud and securities fraud. The Financial Industry Regulatory Authority (FINRA) and other regulatory bodies stress that thorough due diligence can help investors avoid falling prey to fraudulent investment schemes, ponzi schemes, and other deceptive practices that are unfortunately all too common in the financial industry.
Working with financial advisors who are registered with the Securities and Exchange Commission (SEC) and who uphold their fiduciary duties is crucial. A financial advisor with a fiduciary duty is legally obligated to act in your best interests, providing investment advice that prioritizes your financial goals over their own interests or those of their investment firm. This level of trust and accountability is vital in protecting your assets and ensuring your investment strategy is sound.
Experienced investment fraud attorneys in Los Angeles and across the country recommend a proactive approach to due diligence. This means carefully reviewing financial statements, scrutinizing investment portfolios, and verifying that all investments are legitimate and suitable for your risk tolerance. It’s also important to research the background of the investment firm and its management team, ensuring they are registered with the appropriate industry regulatory authority, such as FINRA, and have a solid track record in the securities industry.
Be especially cautious of investment opportunities that promise high returns with little or no risk, or those involving unregistered securities. These are often hallmarks of investment scams and can lead to significant financial losses. Monitoring your brokerage accounts regularly can help you spot unauthorized trades or other signs of investment misconduct early.
To protect yourself from investment fraud, consider these due diligence steps:
Research the investment firm and management team for regulatory registration and a history of ethical conduct.
Review all financial statements and ensure your investment portfolio aligns with your financial goals and risk tolerance.
Be skeptical of offers involving unregistered securities or that seem too good to be true.
Work only with financial advisors who are bound by fiduciary duties to act in your best interests.
Regularly monitor your investment accounts for unauthorized trades or suspicious activity.
By taking these precautions, you can help safeguard your financial interests and reduce the risk of suffering financial losses due to investment fraud.
If you suspect investment fraud or have experienced investment loss as a result of investment misconduct, contact an experienced investment fraud attorney. Our legal team can guide you through the legal process, represent your interests, and help you pursue financial recovery.
Understanding Brokerage Firms
Brokerage firms are central players in the securities industry, employing financial advisors and broker dealers who execute trades and manage investments on behalf of clients. It is important for investors to understand how these firms operate and to research the background and registration status of both the firm and its employees. The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) provide resources for verifying the legitimacy and regulatory compliance of brokerage firms.
Unfortunately, not all brokerage firms act in the best interests of their clients. Some may engage in fraudulent activities such as churning—excessive trading to generate commissions—or selling unregistered securities, both of which can lead to significant investment losses. By staying informed and conducting due diligence, investors can better protect themselves from potential misconduct within the securities industry.
The Role of Financial Advisors
Financial advisors play a vital role in helping investors make informed decisions and achieve their financial goals. They are responsible for providing suitable investment advice and fully disclosing all risks associated with recommended investments. As fiduciaries, financial advisors are legally obligated to act in the best interests of their clients, prioritizing client needs over their own.
Investors should be cautious of financial advisors who use high-pressure sales tactics, recommend unsuitable investments, or engage in unauthorized trading. These behaviors are often signs of investment fraud or a breach of fiduciary duty. Experienced investment fraud attorneys can assist investors in determining whether their financial advisor has acted improperly and can help pursue recovery if necessary. Regularly monitoring your investment accounts and promptly reporting any suspicious activity to the Financial Industry Regulatory Authority (FINRA) or the Securities and Exchange Commission (SEC) are essential steps in protecting your financial future.
What to Do If You Suspect Investment Fraud
If you suspect you are a victim of investment fraud, please do the following:
Document everything you can about the suspect investment.
Get help. If you suspect fraud, an investment fraud attorney can help you plan your next steps. Our lawyers can help you understand the laws surrounding an investment and the strategy for recovery. We can investigate what has happened and where your investment may have gone and offer advice about the best steps for moving forward.
Don’t let fraudsters walk away with your hard-earned money. Fight back. Contact us today for a free consultation.
Don’t let fraudsters walk away with your hard-earned money. Fight back. Contact us today for a free consultation.
Securities and Investment Fraud FAQs
Please feel free to contact us for any questions or a free case review.
Learn More About:
- Unsuitable Investments →
- Churning & Excessive Trading →
- Breach of Fiduciary Duty →
- REIT Fraud →
- Variable Annuity Fraud →
- FINRA Arbitration →
Below are some of the popular questions people ask:
There are many forms of stockbroker fraud that can range from lying to misrepresenting investment products. We offer a free service to review investors' portfolios and financial advisors for all investment fraud issues, including those involving investment advisors, investment advisers, and registered investment advisers. You can also search online with a service by FINRA, called “Broker Check.” that will allow you to search broker-dealers and stockbrokers.
The best way to find a good investment fraud attorney is to interview multiple lawyers and find the one that has the most experience in securities investment fraud and meets your personal expectations. Look for attorneys who are experienced securities fraud lawyers and securities fraud attorneys, as they are skilled in handling a wide range of investment fraud cases.
An investment fraud lawyer helps clients recover losses from financial advisors and broker-dealers. Much of the work involves understanding securities products and FINRA rules and regulations. They also represent clients in investor claims and securities law violations, advocating for those who have suffered investment losses.
Most of our clients do not pay our firm anything until we win the case. We work on a contingency basis and don't require any payment to start. In addition, we offer a free consultation. We represent clients who have suffered financial losses and are committed to helping them recover investment losses.
Ponzi schemes are investment scam that fake returns and uses the money from new investors to pay existing investors. Fraud can also occur in hedge funds, where improper practices and misrepresentations may lead to significant investor losses.
A breach of fiduciary duty is when a principal (such as a financial advisor) fails to act in the best interests of a client. Such breaches may also involve securities law violations, which can be the basis for legal claims.
One of the fastest ways for investors to recover losses from an investment firm or financial advisor is through a FINRA arbitration claim. Investor claims are often handled by a securities fraud attorney who can guide you through the process to recover investment losses.
The Financial Industry Regulatory Authority (FINRA) is a private self-regulatory organization that regulates broker-dealers and stockbrokers. They are charged with licensing, registration, arbitration, and enforcement. The organization is based in New York and is formally known as the NASD. FINRA also plays a key role in regulating investment advisors and financial institutions to protect investors.
Every situation is unique, but we can typically guide you in the right direction after a short initial no-cost consultation in person or by telephone. We try to answer all of your questions and provide you with relevant information so that you can make informed decisions about your situation. If you have suffered investment losses, we can help determine if you have grounds to recover investment losses through legal action.
While it does vary depending on the individual circumstances, and there are several potential strategies that can be considered for expediting cases, most FINRA securities arbitration, and investment litigation matters are concluded within a 12-14 month time frame from the filing date.
Settlements are typically confidential and the arbitrators may issue an Award. The Award alone would be public; however, the Award typically will not include any personal details beyond the result in the case. In some instances, related matters may be filed in federal courts, where records can be public, and defense attorneys may be involved in those proceedings.
We have and continue to represent individual investors, trusts, corporations, pension plans, charitable organizations, and various entities. Our firm also represents investors, investment advisors, investment advisers, registered investment advisers, and financial institutions in a wide range of securities law matters and investor claims.
In a single word: Experience.
We have personally worked for several years in the financial services industry. We have experience on all sides and in virtually every type of matter in this area. We have in-house brokerage firm experience, compliance-side experience, as well as a combined over 50 years of securities arbitration and investment litigation experience. Our team has extensive knowledge of securities law, securities laws, and experience litigating cases in federal courts.
Every case and every situation is different, as is every client relationship. We are committed to working with our clients to arrange cost-effective litigation strategies and we have arrangements that include hourly, contingency, hybrid, or alternative fee arrangements depending on what makes sense for our clients in every case. We represent clients who have suffered financial losses and work to help them recover investment losses.
Arbitrators are generally three neutral individuals who serve as the judge and jury for your case. Some have more arbitration experience than others; however, in order to become an arbitrator, one must apply and receive training.
Well-recognized securities arbitration forums include Financial Industry Regulator Authority (FINRA), American Arbitration Association (AAA), and JAMS. FINRA is the most common arbitration forum and you can learn more about the process and who the arbitrators are at www.finra.org.
The current FINRA Arbitration process can be seen here: http://www.finra.org/arbitration-and-mediation/arbitration-overview The Investment Fraud Lawyers is a full-service firm that was established over 30 years ago, which traces its roots in Palm Beach County decades before then. Originally created by merging three established law firms.
Securities fraud lawyers play a key role in representing investors throughout the arbitration process, ensuring their rights are protected and their claims are effectively presented.
Additional practice areas include probate, wills and trust, estate and trust litigation, tax/corporate, appellate, family/divorce, commercial litigation, real estate, zoning, and construction litigation among our various practice areas.
Please do not hesitate to contact Jason or Matt regarding any of these other matters, with experienced attorneys in all of these practice areas, we look forward to assisting you in your case.