Cooperating with Securities Regulators

Serving Clients Throughout Miami, Los Angeles, New York and Nationwide

If your investments failed and you suspect that a broker or brokerage firm defrauded you or was in any way negligent, your best ally may be securities regulators. Cooperation with securities regulators through your lawyer may place additional pressure on a brokerage firm to yield the result you are looking for — a return of your investment losses. Our securities fraud attorney may be able to help you redeem your investments.

Where Does the Fault Lie: With Your Broker, Your Brokerage Firm or a Defective Investment Product?

Regulatory pressures can lead brokerage firms to do the right thing and return investors’ losses. A brokerage firm that is found by securities regulators to have done you wrong may give in to your demands in order to avoid or reduce regulatory fines and penalties. They may suddenly turn around and say in essence, “Yes, we did wrong, and we are trying to do the right thing,” in an effort to obtain relief from the heat that they are under from securities regulators.

A broker or brokerage firm may blame the failure of the investment on the nature of the products that were purchased:

Securities regulators, in turn, may allege wrongdoing, such as unwarranted pressure on investors to liquefy home equity in order to purchase risky investment products.

Speak with a Securities Fraud Attorney

When cooperating with a securities regulators you should talk to one of our experienced securities fraud attorneys. Our lawyers regularly represent clients from throughout the United States, including those in Florida, California, New York and Michigan.

Wherever you are, we encourage you to discuss your financial losses related to potential securities fraud with one of our lawyers. Contact us today to schedule a consultation by filling out the contact form below.