Types of Disputes
A securities dispute can involve a number of different factors related to financial risk, investments, buying and selling actions, and more.
Some of the types of disputes typical of securities arbitration and litigation include:
- Securities fraud
- Unauthorized trading
- Liability for losses
- Breach of fiduciary duty
- Excess investment losses or large savings losses
- Unsuitable investments
- Churning to generate commission
- Other breaches of securities law
Recovering Your Losses
When a broker, financial planner, salesman, or adviser takes advantage of an investor to perform illegal activity or to act in bad faith, he or she may be held liable for losses and damages. The investor may have legal grounds to file a lawsuit against the offending party, who may be ordered to pay financial compensation. If you suspect your adviser, planner, or other financial professional of unscrupulous activity, it may be in your best interest to initiate arbitration or litigation to resolve the matter.