Handling Securities Fraud Claims in California, New York and Beyond
Shustak Frost & Partners represents defrauded investors in San Diego, New York and across the United States. We also represent select defendants who have been accused of securities fraud. Our experience on both sides of the courtroom gives us insight into the strengths and weaknesses of a case, allowing us to provide more comprehensive advice and more strategic representation.
Common Securities Fraud Claims
One of the most common types of cases we handle involves clients who have gone to a brokerage firm or registered investment adviser and been given negligent or unsuitable advice and sold unsuitable securities. Our lawyers also represent a large number of elderly persons with multimillion-dollar estates whose money has been invested in unsuitable investments that are bad investments for the client, but profitable to the brokerage firm or investment adviser.
Our New York and San Diego securities fraud attorneys handle a wide variety of other security fraud claims, including:
- Unsuitable investment recommendations
- Deeds of trust scams
- Phony startup companies
- Fraudulent reverse-merger investments
- Breach of fiduciary duty
- Hedge fund fraud / Ponzi schemes
- Unauthorized trading
- High-pressure sales tactics
- Lack of diversification
- Stock churning
- Selling away
- Excessive use of margin
- Negligence
- Risky private placements
- Structured products or structured finance
- Preferred shares of stock
- Junk bonds and junk bond funds
- Misrepresented real estate investments
Dispute Resolution for Registered Investment Advisers
Our law firm also handles a broad spectrum of complex securities litigation and business litigation matters. We defend select registered persons, broker dealers, financial advisers and registered investment advisers against securities fraud claims by customers and against disciplinary and regulatory actions by administrative agencies, including the Securities and Exchange Commission (SEC), FINRA (formerly the NASD), NYSE, NFA and all of the state securities regulators.
We have extensive experience as U-4 and U-5 expungement lawyers helping registered representatives keep their CRD records clean of negative reporting and unfounded customer complaints.
Contact a New York and San Diego Unsuitable Investment Attorney
Schedule a free initial consultation by calling Shustak Frost & Partners toll free at 888-748-8748, or contact us online. Se habla español / Nagsasalita kami ng Tagalog.
