Claims Involving Improper Sales
- Breach of Contract
- Customer Specific Suitability
- Failure to Diversify / Overconcentration
- Failure to Execute
- Selling Away Securities
- Know Your Customer
- Margin Accounts
- Overconcentration in Stocks, Bonds, Mutual Funds
- Improper Variable Annuity Sales and Exchanges
- Misrepresentation and Omissions (Common Law Fraud)
- Pump and Dump Schemes
- Self-Dealing
- Stock Fraud
- Unauthorized Trading