Practice Areas
- Financial Abuse of the Elderly
- Variable Annuities
- Leveraged “ETFs” (Exchange Traded Funds)
- Private Placements
- Oil & Gas Over-Concentration
- Negligent Supervision
- Breach of Fiduciary Duty
- LJM Funds
- Promissory Notes
- Unsuitability
- Churning (Excessive Trading)
- Securities Fraud / Investment Fraud
- Ponzi Schemes
- 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
- Claims Involving Products
- Arbitration
- Securities Arbitration
- FINRA Arbitration