Securities brokers, investment advisors, and other financial industry professionals who give bad investment advice or engage in illegal or unethical conduct in their dealings with clients cost investors millions of dollars each year. Brokers who invest their clients in overly risky or unsuitable investments or violate federal laws or industry ethical standards may face civil or criminal penalties. In many cases, defrauded investors are able to recover their financial losses by taking legal action against the broker or the brokerage firm that employs them. Securities law

Unsuitable Investments

Stock brokers are required to investigate a client’s individual financial situation and take into consideration several factors before determining whether an investment opportunity is suitable for the client. The use of unsuitable investments is a common complaint about brokers from clients who see their investment accounts drained by overly risky investments they did not understand.

Brokers should always consider the client’s previous investment experience and tolerance for financial risk in recommending investment opportunities. Several factors should be evaluated to determine whether a particular investment is suitable for a client, including the client’s:

• Age
• Other sources of income
• Liquid net worth
• Educational level
• Understanding of risks
• Other investments and debt
• Financial needs

Other Investment Risks your securities law or lawyer for investments will help with

Investors may also be defrauded by stock brokers and financial advisers who engage in illegal or unethical activities in the handling of client investment accounts. An investment law,securities fraud attorney should be contacted to review your potential claim. Investors may find their investment accounts are being mishandled by unscrupulous stock brokers who do not have the client’s best interests in mind. Securities law Attorneys deal with Broker fraud and misconduct. Stockbroker ,investment, securities law lawyers can Help you. If you have been a victim of a stockbroker for :

• “Churning” a client’s account with unnecessary activity in order to earn commissions
• Failure to diversify the client’s portfolio
• Making unauthorized trades
• Sale of variable annuities to clients who are not good candidates for the investments
• Abuse of margin accounts
• Brokerage firm’s failure to properly supervise its brokers

Call For a Securities law attorney today. They may be able to recoup a portion or all of your lost investment dollars and or seek justice for you.