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WHY YOU NEED A LAWYER TO RECOVER INVESTOR LOSSES
- Recovering investor losses is a specialty in which Securities Fraud Attorney Mark A. Tepper has more than 30 years of experience;
- Nearly all investor lawsuits must be resolved in FINRA arbitration, which requires a special knowledge of FINRA Rules and Procedures;
- FINRA arbitrations are conducted as equitable proceedings where caveat venditor — Seller Beware! — not caveat emptor — buyer beware, carries the day;
- In FINRA, blaming the investor is a discouraged defense;
- Damages can be awarded for specific securities even if other transactions are profitable; and
- An experienced lawyer, like Mark A. Tepper can effectively navigate FINRA Rules to enable the best possible recovery of your losses.
Securities Fraud Attorney Mark A. Tepper
We Fight For your Recovery of Losses
Where Securities Fraud Law Experience Matters Most
Representing Investors in the fight against investment fraud and stockbroker fraud, Securities fraud attorney Mark A. Tepper is a former Assistant Attorney General and the Chief Trial Counsel at the Bureau of Investor Protection and Securities for the New York Attorney General.
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Navigating Non-Traditional ETFs: Protecting Your Investments from ETF Bets Against The Market
Did your broker recommend inverse leveraged Exchange Traded Funds (ETFs) that bet against the market?
Investment Loss Recovery Attorney Mark A. Tepper Marks 23-Year Streak of Legal Recognition with Latest AV Preeminent® Award
Free Case Evaluation for Retirees and Investors seeking investment loss recovery
Has Your Broker Recommended Bets Against the Market?
Two Stifel Financial entities have agreed to pay more than $2 million to settle claims
Attorney Representation Against Stockbroker Fraud
Family Recovers Losses
“Thank you for everything, we really appreciate all the good work by Attorney Mark Tepper!”
– A family, whose broker blamed the Tsunami for their losses. All investment losses recovered, plus interest, costs and attorney’s fees.
Investors are often made to feel that losses caused by investment fraud or stockbroker fraud are their fault. It is important to understand that you are not responsible for your broker’s unsuitable recommendations. Securities law places the blame on brokers, not customers. If you have losses and the broker blames you, a stockbroker fraud lawyer can help you get justice by fighting to recover your losses, even if you have profits in other investments or holdings.
At the Mark A. Tepper Law firm, we are dedicated to the pursuit of investment fraud recovery and protecting the rights of our clients who have been victims of securities fraud or stockbroker fraud.
We fight for the recovery of losses they have suffered, often at a time in their lives when the preservation of savings and income is so important. Many of our clients are elderly, in retirement, and relying on recommendations from their stockbrokers that do not place their irreplaceable savings at risk.
We strive every day to provide greater value for our clients. It is a value based on more than 40 years in the practice of securities law, including representing individual investors with claims against their brokers.
If you have investment losses due to possible securities fraud, investment fraud, including unsuitable stockbroker recommendations, contact Attorney Mark Tepper for a FREE case evaluation at askmark@marktepper.com
“I couldn’t be happier with the result of getting all my money back, plus interest. I know that I couldn’t have done this without Attorney Mark Tepper!”
– Retired Auto Mechanic
Is My Broker Liable for My Investment Losses?
Yes. Your Broker is responsible for unsuitable recommendations telling you to buy, sell and/or hold securities.
Retiree Recovers Losses
“I was delighted when my attorney Mark Tepper told me that we had won my claim. It proves that the ‘little guy’ can win too, when taking on big institutions.”
– Retired School Teacher
- Awarded compensatory damages, pre-judgment interest, expert fees, attorney’s fees, and reimbursement of filing fee. Merrill Lynch had recommended BreitBurn Energy Partners LP. [OTCMKTS: BBEPQ].
What Are the Top Warning Signs of Investment Fraud?
How Do I Know If I’ve Been a Victim of Investment Fraud?
Investment fraud can be difficult to detect, as fraudsters often use sophisticated tactics to gain the trust of their victims.
However, there are several warning signs that you should count as red flags when concerned about stockbroker fraud or investment fraud.
How Much Time Does an Investor Have to File a Securities Fraud Claim to Recover Losses?
Time is limited to file a securities fraud claim for losses. Once the eligibility period expires, the claim will be blocked from consideration. One way to file a claim quickly and efficiently is to hire experienced counsel. To preserve your claim, your securities fraud attorney must file your claim before the eligibility period expires.
How Can a Florida Stockbroker Fraud Attorney Help Investors Who Have Suffered Losses?
You have the legal right to file a claim for damages in arbitration. If you have been the victim of fraud, misrepresentation, omission of material facts, unsuitable recommendations, or other misconduct, you would have a claim for damages. It is important to understand that the brokerage firm has a duty to supervise the activities of their brokers. When a firm fails to detect and prevent its broker’s misconduct, that firm is also liable for the damages that resulted from its broker’s misconduct.
You can recover your losses and hold either the brokerage firm and/or the broker liable by hiring a well-qualified attorney to file a claim for damages in arbitration.
Here are the top six warning signs of investment fraud that every investor should know:
1. Did your broker recommend high risk or speculation when you needed lower risk?
High risk and speculation often leads to losses.
2. Trading without authorization. Does your broker trade first and tell you later?
It is forbidden for brokers to trade without your prior approval — brokers cannot buy or sell securities without your prior authorization. Brokers who do so are liable to you for losses from these transactions.
3. Does your broker recommend frequent trades?
Constant in and out trading is called excessive trading and is an unsuitable trading strategy for many investors. If you have losses from too many transactions, we can help you recover those losses.
4. Over concentration. Are too many of your investments in one area, like tech, oil, or banking?
It is unsuitable to have too many securities in one area –- over concentration — or have too much of one security in your account. For example, all oil or all tech or all banking stocks would be unsuitable in most cases; and
5. Are you still paying commissions?
Currently, most brokers do not charge commissions. Instead, trading is free, or the brokers charge a yearly management fee. If you are still paying retail commissions, your account should be reviewed.
6. Is your broker recommending that you use margin to buy more stock or engage in purchasing options?
Margin use and options are unsuitable for most investors. If your broker recommends a margin or option strategy, we can help you fight to recover your losses.
According to the Financial Industry Regulatory Authority (FINRA), investors who have lost money through investment fraud can receive help in various ways. FINRA is a self-regulatory organization that oversees activities of broker-dealers and aims to protect investors from fraudulent activities.
Here are some of the ways in which Florida investment fraud attorney Mark Tepper assists investors who have suffered losses.
1. Evaluates the Strength of the Case:
Securities Fraud attorney Mark Tepper reviews the investor’s case to determine whether there is sufficient evidence to file a claim for investment fraud damages. Mr. Tepper evaluates the strength of the case and the likelihood of recovery.
2. Files Claim for Recovery:
If the investor has a valid claim for investment fraud, attorney Mark Tepper files a claim for recovery on the investor’s behalf. The attorney can represent the investor in arbitration or mediation proceedings or in court, based on the circumstances.
3. Recovers Losses:
Stockbroker Fraud Attorney Mark Tepper fights to recover losses resulting from stockbroker fraud. The attorney either negotiates a favorable settlement or pursues legal action to recover the investor’s losses.
4. Pursues Legal Action:
If Attorney Mark Tepper determines that legal action is necessary, he can help the investor pursue legal action against the individual or firm responsible for the investment fraud. While arbitration is the way in which most cases are decided, under special circumstances, Mr. Tepper can also file a lawsuit on behalf of the investor and represent them in court.
5. Provides Guidance:
As an experienced securities and investment fraud attorney, Mr. Tepper can provide guidance to investors on how to protect themselves from future investment fraud. Mr. Tepper also provides advice on how to identify potential frauds and how to avoid them.
In summary, an investment fraud or stock fraud attorney provides a range of valuable services to investors who have lost money through stockbroker fraud. These services include evaluating the strength of the case, filing claims for recovery, recovering losses, pursuing legal action, and providing guidance to help prevent future fraud.
At the Mark Tepper Law Firm, we file your claim for damages in arbitration and fight for the recovery of your losses.
Remember, you have a limited time to file a claim for investment losses.
Did your broker recommend non-traded or illiquid REITS?
Brokerage firms that are struggling to make up for lost commissions often recommend alternative non-traded products that carry large commissions. These non-traded investments are illiquid and unsuitable for most investors. The non-traded products are often REITs (Real Estate Investment Trusts) that are highly leveraged and pay returns out of investor contribution rather than cash flow. If you have non-traded REITs in your account they may be unsuitable and you may have a claim against your brokerage firm.
Don’t be afraid to ask questions or to expect answers. If the given explanation doesn’t make sense to you, get another opinion.
If you are seeking investment fraud recovery and believe you are a victim of stockbroker fraud, for a free evaluation of your claim in order to make an informed decision on whether you can sue your broker click on the button below.
What Our Clients Are Saying
“Our CPA referred us to the Mark Tepper law firm because he knew we were in the right but needed an experienced attorney who could go to bat for us on our claim against a big brokerage firm. We’re certainly very happy that we chose Mark Tepper as our attorney. ”
– Retired School Teacher and her Husband
“We are sincerely thankful to have found an attorney with your expertise in cases of recovery like ours. Thank you for your excellent work on this claim on behalf of our son. To say a load has been lifted from my mind regarding this claim is an understatement. Our son means the world to his mother and me.”
– Multinational Pharmaceutical Company Retiree
Securities Law Specialities
REPRESENTING INVESTORS
Can I Sue my Broker? Your Broker is responsible for…
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TRAINING REGULATORS
How do you recognize Securities Fraud …
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SPEAKING ENGAGEMENTS
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FINRA DISCIPLINARY ACTIONS
Disciplinary action by the Financial Industry Regulatory Authority (FINRA) is taken against firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA disciplinary action is taken through two separate procedures: a settlement or a formal complaint. With a settlement, a firm or broker can opt to settle with FINRA and sign an Accept, Waiver and Consent form (AWC). A formal complaint is filed with and heard before FINRA’s Office of Hearing Officers. The office assigns to the case a professional hearing officer who is responsible for ensuring the complaint is resolved fairly and expeditiously. The case is heard by a three-person panel made up of the hearing officer and two industry panelists.
“FINRA disciplinary action and the FINRA misconduct disclosure process are essential to informing customers about potential problem brokers and supervision breakdowns at brokerage firms,” Attorney Mark Tepper who represents investors seeking recovery against stockbroker fraud said.