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Investor Claims - Part 4

Causes of Action: Part 4

Most Cases at FINRA arbitration involve failure to supervise. Malecki Law’s New York FINRA arbitration lawyers know that everything a broker or investment advisor has done, should have been scrupulously supervised by likely numerous people. Both your account, as well as the investment professional and transactions themselves, have different lines of supervision for different purposes. From forgeries, theft and conversion to suitability, from market manipulation to breach of contract and annuity peddling, a supervisor should have been closely monitoring and put a stop to the wrongful conduct.


13. Failures to Supervise

When the brokerage firm's senior personnel fail to properly review and monitor the brokers' work.

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14. Breach of Contract

A brokerage firm’s failure to live up to written and/or verbal agreements regarding the handling of your account, which includes FINRA and SEC rules and laws.

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15. Forgery

A broker’s wrongful signature of your name without your permission, copying and pasting your signature or altering documents you already signed.

Any experienced New York FINRA arbitration lawyers like those at Malecki Law will tell you, a motto is “there’s a forgery in every case.” That may be a slight exaggeration, but you would be surprised how often we see them.

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16. Conversion and Theft

A broker wrongfully taking control of your money, and/or transferring it to an account outside your control.

These days, theft has become more prevalent rather than less. Not only do you have to worry that your computer may be hacked, or your bank account, but your brokerage firm assets as well. Malecki Law’s FINRA arbitration law firm in New York has successfully resolved numerous large cases involving theft and conversion.

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17. Market Manipulation

The creation of a fictitious market environment by brokers, traders, and/or analysts to suit only their own profit objectives. “Pump and dump schemes” (otherwise known as “hype and dump manipulation”) refers to the steering of investor toward a stock (typically microcap companies, defined as companies with a market capitalization of $300 million or less) through false or misleading statements. With the stock’s value overstated, the committer of this fraud then sells the stock for large profits. The promotion of such schemes is common to the Internet and telemarketing, often perpetuated by paid promoters looking to gain from false hype. Once the stock is entirely sold off (or “dumped”) by the promoter, its worth plummets at the investor’s peril.

Depending on the claim and the state or forum where it is brought, there may be different statutes of limitations or time limits that a customer has to bring a claim, even in arbitration. If you suspect broker wrongdoing has contributed to investment losses, you should promptly contact Malecki Law’s FINRA arbitration attorneys in New York to protect your rights.

More Information on Statute Specifics from the North American Securities Administrators Association

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18. Variable Annuities

The sale of variable annuities is fraught with issues for investors, from high sales charges, penalties for early withdrawal to choices in underlying investments and lifetime insurance benefits. Sales of variable annuities are regulated by both the SEC and FINRA. Many issues can arise around questionable sales practices fueled by high pay-outs for brokers. FINRA Rule 2330 provides guidance and a standard from which to judge whether a broker or advisor has breached their obligations to you for which you might have a negligence, contractual and/or fraud case.

Recovering Investment Losses Through Arbitration or Mediation

Investors who lose money because of unsuitable investments may have grounds to hold the responsible broker and brokerage firm accountable through investor arbitration or mediation, which are types of dispute resolution processes that function as alternatives to litigation.

Depending on the circumstances, investors may allege unsuitability, misrepresentation, and / or other fraud and misconduct claims against a broker. They may also look to hold the representative’s brokerage firm accountable for failures to supervise and other breaches of conduct.


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