Florida Securities Attorneys

When your financial future is at stake, you need experienced legal advocates who understand the complex world of securities law and investment fraud, and our dedicated team of Florida securities lawyers has spent five decades protecting investors from fraud, misconduct, and unsuitable investments that can devastate portfolios and retirement plans through comprehensive legal strategies that address every aspect of securities violations.

Our attorneys include graduates of the, Nova Southeastern University  University of Miami School of Law, reflecting the strong reputation of the Miami School for producing skilled securities lawyers with deep ties to Miami and South Florida. We are recognized among our peers, for our commitment to investor protection and excellence in Florida securities law.

Recover your losses! The next step is a free consultation to discuss how much you can recover and address investment fraud faqs, including finding a good investment fraud attorney who represents investors, recovering losses from financial advisors, identifying Ponzi schemes, and understanding the role of FINRA.

This consultation also covers navigating FINRA arbitration claims, emphasizing our expertise in pursuing a FINRA arbitration claim against broker misconduct.

Our team includes experienced investment fraud attorneys ready to offer you a free consultation to explore your legal options for recovery.

Investment fraud takes many forms. From outright theft to subtle breaches of fiduciary duty that slowly erode your wealth over time, these violations can destroy everything you’ve worked to build, which is why our law firm’s deep expertise in federal securities laws, Financial Industry Regulatory Authority (FINRA) regulations, and Securities and Exchange Commission enforcement ensures that your rights are vigorously defended while your investment losses are recovered whenever possible through aggressive legal action.

We fight back. As a leading Florida securities law group with a 98% success rate and 50 years of experience, we represent investors who have suffered financial losses due to stockbroker fraud, unauthorized trading, and breach of fiduciary duty by financial professionals at major brokerage firms including Merrill Lynch and Morgan Stanley. Our nationwide practice extends across stock brokerage firms throughout South Florida, Fort Lauderdale, and beyond.

Types of Securities Fraud and Misconduct

Securities fraud and misconduct can devastate the financial well-being of individual investors, families, and institutions. These violations often occur when brokerage firms, investment advisors, or individual brokers put their own interests ahead of their clients, disregarding the strict standards set by federal securities laws and regulatory bodies like the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and National Futures Association. Understanding the most common types of securities fraud is essential for protecting your investments and knowing when to seek legal help.

Unsuitable InvestmentsOne of the most frequent violations occurs when brokerage firms or registered investment advisors recommend investments that do not align with a client’s financial goals, risk tolerance, or investment objectives. This breach of fiduciary duty can lead to significant financial losses, especially for investors who rely on professional guidance to safeguard their retirement savings or other critical assets. Unsuitable investments often involve complex products, high-risk securities, or alternative investments that are inappropriate for the client’s profile.

Unauthorized TradingUnauthorized trading happens when a stockbroker or investment advisor executes transactions in a client’s account without explicit consent. This practice is a clear violation of federal securities laws and FINRA regulations, and it can result in unexpected investment losses. Investors who notice trades they did not approve should act quickly, as unauthorized trading is a serious form of stockbroker fraud that undermines trust and can erode a portfolio’s value.

Stockbroker FraudStockbroker fraud encompasses a wide range of deceptive practices, including churning—where brokers excessively buy and sell securities to generate commissions—and misrepresenting the risks or potential returns of an investment. These actions not only violate the fiduciary duties owed to clients but also frequently result in substantial financial losses. Stockbroker fraud can be difficult to detect, making it crucial for investors to review account statements and remain vigilant for signs of misconduct.

Breach of Fiduciary DutyBrokerage firms and investment advisors are legally obligated to act in the best interests of their clients. A breach of fiduciary duty occurs when these professionals fail to disclose material information, recommend investments that benefit themselves at the client’s expense, or otherwise act contrary to the client’s interests. Such breaches are at the heart of many securities litigation and arbitration cases, as they often lead to avoidable investment losses.

Ponzi SchemesPonzi schemes are fraudulent investment operations where returns are paid to earlier investors using the capital of new investors, rather than from legitimate profits. These schemes are often orchestrated by individuals or firms promising unusually high returns with little or no risk. When the flow of new investments slows, the scheme collapses, leaving most investors with significant losses. The SEC and other regulatory agencies aggressively pursue Ponzi schemes, but victims often require experienced attorneys to recover their losses.

Insider TradingInsider trading involves buying or selling securities based on material, non-public information. This illegal practice gives certain individuals an unfair advantage in the market and is strictly prohibited by the Securities and Exchange Commission and FINRA. Insider trading undermines market integrity and can result in severe penalties for those involved, including both the individuals who trade on inside information and the firms that fail to prevent it.

Account ChurningAccount churning is a form of stockbroker fraud where a broker engages in excessive trading in a client’s account solely to generate commissions. This practice is not only unethical but also a violation of securities laws and FINRA rules. Churning can quickly deplete an investor’s account through unnecessary fees and poor investment performance, and it is grounds for legal action to recover financial losses.

Failure to SuperviseBrokerage firms have a legal responsibility to supervise their employees and ensure compliance with all securities laws and regulations. When firms fail to monitor the activities of their brokers or investment advisors, clients can suffer financial losses due to misconduct that could have been prevented. Failure to supervise is a common basis for securities litigation and arbitration, as it reflects systemic problems within a firm that put investors at risk.

If you or someone you know has suffered financial losses due to any of these types of securities fraud or misconduct, it is critical to consult with a law firm that specializes in securities litigation and arbitration. Our law group has extensive experience representing investors in complex cases involving brokerage firms, investment advisors, and individual brokers. We understand the intricacies of federal securities laws and the regulations enforced by the SEC, FINRA, and the National Futures Association. Our attorneys are dedicated to helping clients recover investment losses and hold wrongdoers accountable, providing the highest level of service and expertise to investors worldwide.

Investment Risks and Protections

The investment landscape is treacherous, filled with unethical brokerage firms, rogue registered investment advisors, and inadequate regulatory oversight that creates an environment where individual investors must remain constantly vigilant to protect their assets from financial losses that can occur through sophisticated fraud schemes, unsuitable investment recommendations, and outright theft by trusted financial professionals.

Securities fraud threatens everything. Ponzi schemes and pump-and-dump operations destroy lives through systematic deception, while misrepresentation of investment risks and returns involving stocks, bonds, and alternative investments can wipe out retirement accounts, college funds, and life savings in mere months, particularly when individual brokers engage in unauthorized trading or aggressively promote unsuitable investments to unsuspecting clients who trust their professional judgment.

Fiduciary breaches happen daily.

Breach of fiduciary duty occurs when financial professionals fail their clients through various forms of misconduct: recommending unsuitable investments that don’t match client profiles, engaging in excessive trading to generate commissions at the client’s expense, or failing to diversify portfolios appropriately to manage risk. The Financial Industry Regulatory Authority, Securities and Exchange Commission, and National Futures Association require broker dealers and investment advisors to meet specific standards of care, yet violations remain unfortunately common among financial professionals who prioritize profits over client welfare. Contract disputes often arise from breaches of fiduciary duty or unsuitable investment recommendations, and our firm has extensive experience resolving such disputes for investors.

Risk profiles determine everything, and unsuitable investments pose particular dangers to older investors or those with conservative financial goals who depend on their investments for retirement income. When stock brokers or financial advisors recommend high-risk securities, complex derivatives, private placements, or illiquid alternative investments that don’t match an investor’s age, financial situation, or investment objectives, they violate professional obligations under federal securities laws and can cause substantial and irreversible financial harm.

Understanding Your Legal Protections:

Federal securities laws provide comprehensive investor protection through a complex framework of statutes including the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Advisers Act of 1940, which establish strict standards for disclosure, fiduciary duty, and fair dealing in securities transactions that are overseen by the Securities and Exchange Commission and enforced through both state and federal courts with significant penalties for violations.

FINRA serves as the primary self-regulatory organization overseeing brokerage firms and registered representatives. Working alongside the New York Stock Exchange and National Association of Securities Dealers, FINRA maintains market integrity through comprehensive oversight that includes FINRA arbitration rules requiring brokers to conduct adequate due diligence, provide suitable investment recommendations, and maintain proper supervision of their representatives.

When these standards are violated, investors have clear rights to seek compensation through FINRA arbitration proceedings.

Knowledge empowers victims, and a skilled Florida securities lawyer with extensive experience can help you understand these protections and identify when violations have occurred, while our law group stays current with evolving regulations and enforcement actions by the Exchange Commission to ensure that we can effectively represent investors under both state and federal securities laws while maximizing recovery opportunities through strategic legal action.

Recognizing Investment Fraud:

Stockbroker fraud can be sophisticated. Warning signs include promises of guaranteed returns in the stock market, high-pressure sales tactics promoting venture capital or private placements, unauthorized trading activity, and reluctance to provide detailed documentation about alternative investments. These red flags often indicate serious underlying problems.

Unauthorized trading violates basic client trust through a practice where individual brokers execute transactions without client consent, often to generate excessive commissions or cover losses in other accounts, a practice known as churning that violates FINRA rules and can result in significant financial penalties for responsible stock brokerage firms and securities dealers while causing severe and long-lasting damage to client portfolios.

Corporate law and securities law expertise prove crucial. Our attorneys understand how public companies and private corporations should operate under Securities and Exchange Commission regulations, which makes it easier to spot irregularities in commercial litigation matters and hold wrongdoers accountable for their actions through comprehensive legal strategies.

Legal Remedies for Investors

Justice is possible. When investment fraud or stockbroker misconduct occurs, victims have multiple legal avenues available to recover investment losses and hold responsible parties accountable, but the key is acting quickly and working with experienced Florida securities lawyers who understand the nuances of securities litigation and securities arbitration proceedings.

Securities Litigation and Arbitration:

Individual investors who have suffered financial losses due to securities fraud or breach of fiduciary duty can often recover damages through securities litigation in state court or federal court, or through FINRA arbitration proceedings, with the choice between these options depending on various factors including the amount of investment losses, the strength of available evidence, and the specific terms of account agreements with brokerage firms.

FINRA arbitration offers speed and efficiency. This process is typically faster and less expensive than traditional securities litigation, while still providing investors with the opportunity to present their cases before experienced arbitrators who understand securities industry practices and can award substantial compensation for lost money along with additional penalties on violating firms.

Our law firm brings decades of extensive experience to every case, representing investors in FINRA arbitration proceedings as well as litigated cases before the Securities and Exchange Commission, American Arbitration Association, and various state and federal courts. This breadth of legal experience allows us to choose the most effective forum for each client’s unique situation involving financial losses. Our attorneys include former in house counsel and general counsel for financial institutions, providing valuable insider perspective and deep understanding of regulatory compliance, corporate governance, and the internal workings of brokerage firms in securities litigation and arbitration.

Types of Legal Claims:

Securities fraud claims encompass numerous violations under various state and federal statutes, each carrying their own requirements and potential remedies, including common causes of action such as violations of Section 10(b) of the Securities Exchange Act, breach of fiduciary duty under state law, and negligence in the handling of client accounts by financial professionals at major brokerage firms, with each claim type requiring specific evidence and tailored legal strategies. Our firm has experience litigating against both individual brokers and brokerage firms, holding them accountable for misconduct or negligence that results in client losses.

Unsuitable investment claims protect the vulnerable.

These claims are particularly important for older investors or those with conservative risk profiles who lost money due to inappropriate recommendations, and when financial advisors recommend alternative investments, private placements, or high-risk securities inappropriate for their clients’ financial situations, investment objectives, or risk tolerance, they face significant liability for resulting investment losses through both securities arbitration and commercial litigation.

Stockbroker misconduct manifests in many forms beyond unauthorized trading and churning, including failure to diversify portfolios and inadequate supervision by brokerage firms, with each type of misconduct requiring a different legal approach in securities law that makes it essential to work with a Florida securities law group that understands the full spectrum of securities violations and can effectively represent investors.

Recovery Options:

Maximum recovery requires skilled representation from a Florida securities lawyer with extensive experience who can help individual investors navigate the complex legal process and maximize their chances of recovery under both state and federal securities laws through conducting thorough internal investigations, gathering necessary evidence, and presenting compelling arguments to arbitrators or judges in litigated cases.

Class actions serve justice broadly. They may be appropriate in cases involving widespread fraud or misconduct that affects large numbers of investors who suffered financial losses, providing an efficient means for investors to recover investment losses while serving the broader public interest by exposing and deterring fraudulent practices by public companies and securities dealers.

Individual lawsuits offer personalized attention for cases involving unique circumstances or substantial investment losses that warrant individualized legal strategies, and our attorneys, including our founding partner and managing partner, carefully evaluate each case to determine the most effective legal approach for clients who lost money due to securities fraud with the goal always being maximum recovery and accountability.

Finding the Right Florida Securities Expert

Your choice of legal representation will determine your outcome.

The complexity of investment fraud and securities violations, combined with the high stakes involved, make it absolutely essential to work with law firms that have demonstrated expertise and a proven track record of success in helping clients recover investment losses, because the right choice can make the difference between complete recovery and total loss of your remaining assets.

Essential Qualifications:

Individual investors should prioritize extensive experience when selecting law firms with deep knowledge in securities law, corporate law, and investment fraud cases involving public and private corporations, ensuring that this legal experience encompasses both securities litigation and securities arbitration as well as familiarity with regulatory proceedings before agencies like the Securities and Exchange Commission, Financial Industry Regulatory Authority, and National Futures Association.

Leadership matters. A managing partner or founding partner with a strong background in securities litigation and FINRA arbitration can provide invaluable leadership and strategic direction throughout the legal process. This level of experience is particularly crucial in complex cases involving sophisticated financial instruments, alternative investments, private placements, or corporate misconduct.

Current knowledge is non-negotiable, so look for attorneys who regularly handle cases similar to yours and who stay current with developments in federal securities laws and enforcement actions, because the regulatory landscape constantly evolves with new rules from the Exchange Commission and New York Stock Exchange, making it essential that effective representation comes from Florida securities lawyers who understand both current requirements and emerging trends affecting broker dealers and investment advisors.

Track Record and Reputation:

Results speak loudest. A law firm’s track record of success in helping clients recover investment losses ranks among the most important factors to consider, including not only the total amount of recoveries in litigated cases and FINRA arbitration proceedings, but also the firm’s success rate and demonstrated ability to handle cases of varying complexity and size, from individual disputes to million dollar class actions where proven results matter most.

Professional involvement demonstrates unwavering commitment to the field, and involvement in investor advocacy groups and professional organizations such as the National Association demonstrates dedication to protecting investor rights and staying current with industry developments, while attorneys who are actively involved in continuing education programs and contribute to legal publications are more likely to provide effective representation for clients who have suffered financial losses.

Recognition validates true expertise.

Client testimonials and peer recognition provide valuable insights into a law firm’s reputation and effectiveness in securities law matters, so look for Florida securities lawyers who have received recognition from respected legal organizations and who maintain strong relationships with former clients, particularly those who have successfully helped clients recover lost money through their legal experience, as they offer the best prospects for successful outcomes.

The Consultation Process:

A free consultation opens the door to justice and provides an invaluable opportunity to evaluate your case and determine the best course of action for recovering investment losses, during which experienced attorneys can assess the strength of your claims against brokerage firms, explain your legal options under federal securities laws, and provide realistic expectations about potential outcomes in securities litigation or FINRA arbitration.

Comprehensive evaluation proves crucial.

The consultation should cover not only the legal aspects of your case involving stockbroker fraud or breach of fiduciary duty, but also the practical considerations involved in pursuing a claim, including discussing the time frame for resolution, potential costs, and the likelihood of recovery based on similar litigated cases handled by the law group, because transparency builds trust and sets proper expectations for the legal process ahead.

Personal fit matters greatly, so use the consultation to evaluate the attorney’s communication style, expertise in securities law, and commitment to your case, because the right Florida securities lawyer will take time to understand your situation involving financial losses, answer your questions thoroughly about the Securities and Exchange Commission process, and provide clear explanations of complex legal concepts related to investment fraud.

Our Commitment to Clients:

Haselkorn and Thibaut, P.A. prioritizes long-term relationships with individual investors based on trust, communication, and results.

Our 50 years of experience and 98% success rate handling securities fraud cases throughout Florida and nationwide has given us the knowledge and resources necessary to take on even the most complex investment fraud cases involving major brokerage firms like Merrill Lynch and Morgan Stanley, because we understand that investment losses can devastate families by destroying retirement plans, college funds, and life savings due to stockbroker fraud and unsuitable investments.

Our founding partner and managing partner work tirelessly to help clients recover investment losses through securities arbitration and commercial litigation with a no recovery, no fee contingency structure that means you don’t pay attorney fees unless we successfully recover lost money for you, aligning our interests with yours from the beginning of the representation.

Top 2% peer reviews, 5 Star Google ratings, and Super 100 lawyers recognition validates our commitment to excellence. Beyond individual cases, our law group’s commitment to protecting investor rights includes advocacy for stronger investor protections and more effective enforcement of federal securities laws by the Securities and Exchange Commission. When you choose Haselkorn and Thibaut, P.A. as your Florida securities lawyers, you’re partnering with advocates who are actively involved in making the investment industry safer and more transparent for all individual investors through systemic change and accountability.

50 years of experience and decades of legal experience inform every strategy we employ as we represent investors in disputes with broker dealers, securities dealers, investment advisors, and major brokerage firms across all types of misconduct, and whether your case involves unauthorized trading, unsuitable investments, Ponzi schemes, alternative investments, private placements, or other forms of stockbroker misconduct, our Florida securities law group has the expertise to effectively represent investors in both state and federal proceedings with a proven track record of winning complex cases.

Ready to Recover Your Losses?

Call 1-888-614-9356 for your free consultation today. En español 561-585-0000.

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