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Lawyers of Distinction 2020

Securities Attorney

Investing in securities is an excellent way to grow your personal wealth and secure finances for your retirement. Unfortunately, the securities market is large, complex, and often plagued by instances of fraud. The average investor puts their short and long-term financial security at risk when they unknowingly work with unscrupulous brokers and firms. A security attorney can help you hold the offending party responsible and recover the money you have invested.

When to Hire a Securities Attorney?

Any investment is a gamble. And even the smartest investors and brokers will lose money sometimes. But there is a big difference between losses due to unpredictable market forces and losses due to fraud, malfeasance, and negligence.

If you believe that your broker was making unnecessary trades, making risky trades, or otherwise mismanaging your money, it’s time to contact a securities attorney. These legal professionals have the expertise required to analyze the financial decision-making process in depth and spot suspicious activity on the part of the broker. The securities attorney can then initiate legal proceedings to help you recover your losses.

Unscrupulous brokers are excellent at coming up with justifications for their risk taking and explaining away their failures. Unless you have financial expertise and a tenacious personality, it can be very hard to separate facts from fiction. That is why it is so important to have a good securities attorney as your partner. Only someone with experience and expertise identifying broker misconduct can help you navigate the complicated world of finance law.

Who is Howard M. Rosenfield?

Howard M. Rosenfield has been assisting investors and pursuing negligent brokers for more than 35 years. In that time he has seen every instance of fraud imaginable and heard some truly heartbreaking stories from investors who have lost it all. He has also helped many of these same investors recover some or all of the money they feared was lost forever. Rely on the experience of Howard M. Rosenfield and his firm to stand up to the brokers and fight for what is fair.

Types of Claims

Securities fraud is a lot more common than investors expect. Brokers and advisors will tell you that they put your best interests first. They will give you lots of assurances and show you complicated graphs, charts, and graphics to prove their point. But in firms both large and small, there are advisors and brokers who are putting your money at risk by committing securities fraud.

Investing is a complex business, and securities misconduct and fraud comes in many forms.

Common Examples of Securities Fraud and Stockbroker/Financial Advisor Misconduct:

  • Financial Exploitation of the Elderly
  • Variable Annuities
  • Alternative Investments
  • Failure to Supervise
  • Oil And Gas Partnerships
  • Leveraged ETFs (Exchange Traded Funds)
  • Mutual Fund Switching
  • Private Placements
  • Breach of Fiduciary Duty
  • Excessive Trading (Churning)
  • Failure to Diversify / Overconcentration
  • Margin Account Abuse
  • Misrepresentation and Omissions (Common Law Fraud)
  • Pump and Dump Schemes
  • Self-Dealing
  • Suitability – Were Recommendations Suitable?
  • Quantitative Suitability
  • Tenants In Common (“TIC”) 1031 Exchange
  • Unauthorized Trading
  • Securities Fraud
  • Sector or Stock Overconcentration
  • Failure to Follow Instructions
  • Breach of Contract
  • Selling Away
  • Promissory Notes
  • Ponzi Schemes
  • Improper Variable Annuity Sales and Exchanges
  • Business Development Companies [BDCs]
Client Reviews
★★★★★
Howard Rosenfield is truly a life saver. After months of working with my financial advisor, I found out he was making risky investments without my knowledge. When I discovered how much money I lost, I thought there was nothing I could do. Howard explained all the difficult terms and what exactly my financial advisor did wrong. If it wasn't for Howard, I would never have recovered my losses and would be under extreme financial distress to this day. J.
★★★★★
Howard’s experience and advice throughout this ordeal was invaluable and reassuring. The law in general is complicated, difficult to understand and very personal. Financial misappropriation is even more personal but Howard’s years of experience and calm demeanor helped keep me calm, focused and moving forward. For anyone in need of a knowledgeable and experienced Investment Recovery Attorney I strongly recommend Howard. Laura
★★★★★
I was filled with anxiety and stress when I selected Attorney Howard Rosenfield to represent me. Instantaneously, I felt comfortable and at ease. Attorney Rosenfield listens attentively to the facts and asks questions and competently reiterates and verifies the accuracy and completeness of my statements. Perseverance, trustworthy and superb legal and communication skills mark Attorney Rosenfield to be one of the best in his field of law. Helen