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Legal Tips for Victims of Investment Fraud or Stockbroker Fraud

Sep 5, 2015

Individual investors trust their financial advisors more than their primary care physicians, according to a survey conducted by the John Hancock Life Insurance Company. But, do investors, especially seniors, place too much faith in their advisors?

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  • Investment Fraud or Stockbroker Fraud
  • One such avenue is the law firm of Mark A. Tepper, P.A., which champions the cause for victims of investment fraud or stockbroker fraud.In more than 35 years as an investor advocate, Fort Lauderdale securities attorney Mark A. Tepper has represented hundreds of clients who,as investors, felt that brokers had betrayed their trust.
    • Archived Securities Fraud News

Trust is the foundation of the client/stockbroker relationship, along with a belief that our interests will be protected.

Sometimes, though, misconduct and mismanagement can betray that trust.

Investment Fraud or Stockbroker Fraud

According to CNNMoney, a survey of financial planners by the Certified Financial Planning Board of Standards reports that seniors who become victims of financial abuse lose, on average, about $140,000. Yet, only one in six victimized seniors reports these abuses.

Maybe they are too embarrassed to report their loses. Or, maybe they don’t know where to turn. But, faced with inappropriate losses, investors should know that there are avenues for filing a claim for recovery through an attorney.

One such avenue is the law firm of Mark A. Tepper, P.A., which champions the cause for victims of investment fraud or stockbroker fraud.In more than 35 years as an investor advocate, Fort Lauderdale securities attorney Mark A. Tepper has represented hundreds of clients who,as investors, felt that brokers had betrayed their trust.

“I enjoy the satisfaction of doing the right thing,” he says. “I meet people whose lives have been dramatically changed because of broker misconduct, and a successful claim and recovery can give them back their lives. That’s my reason for doing what I do.”

An experienced counsel, Mr. Tepper has represented hundreds of customers, even taking on giants such as Bank of America, Charles Schwab, Merrill Lynch, Morgan Stanley, Raymond James, Smith Barney, UBS and Wells Fargo.

A member of the Florida, New York and California bars, he is Premier AV®-rated — the highest rating of lawyers in the Martindale-Hubble Law Directory.

Seniors, who frequently are on fixed incomes and depend heavily on investments, can become targets for aggressive money managers promising higher returns through alternative investments.

“Investors should be very wary of aggressive financial advisors who promise stellar returns on investments, while pushing high-fee financial products where commissions, and excessive trading can eventually drain a portfolio,” Tepper advises.

If a broker does not tell you the full story, gives false information or recommends something that isn’t right for you, then that could be misconduct. As a consumer, be alert for and recognize “red flags,” such as unexpected losses in your account. Ask your broker how he or she is compensated, and what are the costs and risks associated with your broker’s recommendations.

Don’t be afraid to ask questions or to expect answers. If the given explanation doesn’t make sense to you, get another opinion. Not every loss is securities fraud. And, not every loss is just bad luck or bad timing, or something the investor simply didn’t understand.

If you believe you are a victim, consult with a competent attorney, so you can understand your legal rights, and make an informed decision. A competent securities attorney can independently evaluate your claim. After a review, you are in a better position to know whether to file a claim based on facts.

Archived Securities Fraud News

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    Ft. Lauderdale, FL. – A stockbroker who was held accountable by a FINRA Arbitration Panel…

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Contact with this website does not constitute creation of an attorney-client relationship. An attorney-client relationship will occur only after the client and the law firm, sign an Agreement, confirming the nature and scope of representation. Investors take action. If you are an investor whose investment or retirement funds have been lost due to stockbroker fraud, investment fraud, or other deceptive or misleading practices, you may have a case against your stockbroker or financial firm for investment fraud recovery.

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Securities fraud, also known as stock fraud and investment fraud, is a practice in violation of the securities laws that induces investors to make purchase or sale decisions on the basis of untrue or misleading information, which can result in losses. The choice of a lawyer is an important decision and should not be based solely upon advertisements. This website may contain attorney advertising and is a form of law firm advertising. Prior results do not guarantee a similar outcome. Each case is different and is judged on its own merits.

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Investors can also obtain more information about, and the disciplinary record of, any FINRA-registered Broker or Brokerage firm, using FINRA's Broker Check.
Broker Check is a free service for investors and can be found at www.finra.org/brokercheck.

A stockbroker fraud securities lawyer can help you take action in seeking recovery of your investment losses. The Mark A. Tepper securities law firm represents the interests of investors who have suffered stock losses as a result of fraudulent practices or stock broker fraud. Free consultation on stock fraud from Fort Lauderdale, Florida Securities Lawyer. located in Ft. Lauderdale, and serving investors in Florida including Aventura, Boca Raton, Delray Beach, Fort Lauderdale, Hallandale, Hollywood, Jacksonville, Key Biscayne, Miami, Naples, Orlando, Palm Beach, Parkland, Pembroke Pines, Pompano Beach, Tampa and Vero Beach.

LEGAL TIPS FOR INVESTORS FROM THE MARK A. TEPPER LAW FIRM

• If it sounds too good to be true, it probably is.
• Don’t sign a new account agreement unless you understand it.
• Hang up on cold callers, especially those calling with “the opportunity of a lifetime.”
• Ignore high pressure sales tactics such as “if you don’t act now.”
• Save all promotional materials, in the event of a dispute over how the investment was described.
• Get it in writing. Don’t rely on verbal representations which may be convenient for the broker to forget during a dispute.
• Do not blame yourself. Brokers have a duty to recommend only suitable investments.
• Generally, the higher the investment return, the greater the risk.

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