{"id":161,"date":"2021-07-10T23:08:15","date_gmt":"2021-07-10T23:08:15","guid":{"rendered":"https:\/\/millersandiegoattorney.com\/?page_id=161"},"modified":"2021-07-10T23:09:27","modified_gmt":"2021-07-10T23:09:27","slug":"investor-claims","status":"publish","type":"page","link":"https:\/\/millersandiegoattorney.com\/index.php\/investor-claims\/","title":{"rendered":"Investor Claims"},"content":{"rendered":"

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Investor Claims<\/span><\/p>\n

[\/et_pb_text][\/et_pb_column][\/et_pb_row][\/et_pb_section][et_pb_section fb_built=”1″ _builder_version=”4.9.7″ _module_preset=”default”][et_pb_row _builder_version=”4.9.7″ _module_preset=”default”][et_pb_column type=”4_4″ _builder_version=”4.9.7″ _module_preset=”default”][et_pb_text _builder_version=”4.9.7″ _module_preset=”default” custom_margin=”-61px|||||”]<\/p>\n

We have brought securities arbitration and commodities arbitration claims for our investor clients (individual and corporate investors). We have successfully litigated securities arbitration and other financial claims at the major forums, such as the Financial Industry Regulatory Authority (FINRA) and the American Arbitration Association (AAA.)\u00a0<\/span><\/p>\n

We have pursued claims against stockbrokers, brokerage firms and other investment professionals who have mishandled our clients\u2019 funds. We can handle a wide range of abuses and violations, including:<\/span><\/p>\n\n\n\n\n\n\n\n
\n

\u00a0\u2022\u00a0Securities Fraud<\/span><\/p>\n<\/td>\n

\n

\u00a0\u00a0\u2022\u00a0Tax Shelter Fraud<\/span><\/p>\n<\/td>\n<\/tr>\n

\n

\u2022\u00a0Annuity Sales Practice Abuses<\/span><\/p>\n<\/td>\n

\n

\u00a0\u00a0\u2022\u00a0Mutual Fund Abuses<\/span><\/p>\n<\/td>\n<\/tr>\n

\n

\u00a0\u00a0\u2022\u00a0Insurance Product Abuses<\/span><\/p>\n<\/td>\n

\n

\u00a0\u00a0\u2022\u00a0Stock Option Abuses<\/span><\/p>\n<\/td>\n<\/tr>\n

\n

\u00a0\u00a0\u2022\u00a0Internet Securities Fraud<\/span><\/p>\n<\/td>\n

\n

\u00a0\u00a0\u2022\u00a0Hedge Fund Fraud<\/span><\/p>\n<\/td>\n<\/tr>\n

\n

\u00a0\u00a0\u2022\u00a0Online Trading Abuses<\/span><\/p>\n<\/td>\n

\u00a0<\/span>
<\/span><\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

Your claims as an investor against financial professionals and brokers may include unsuitable investments, such as the placing of your funds in high-risk stocks or commodities for the broker\u2019s personal gain and commissions, without informing you or taking into account your investment objectives such as age, financial situation and family circumstances.\u00a0 Other specific investor claims are not limited to, but may fall into the following categories:\u00a0<\/p>\n

<\/span><\/p>\n\n\n\n\n\n\n\n\n\n\n\n
\n

\u00a0\u00a0\u2022\u00a0Stock Broker Fraud<\/span><\/p>\n<\/td>\n

\n

\u00a0\u00a0\u2022\u00a0Unauthorized Trading<\/span><\/p>\n<\/td>\n<\/tr>\n

\n

\u00a0\u00a0\u2022\u00a0Breach of Fiduciary Duty<\/span><\/p>\n<\/td>\n

\n

\u00a0\u00a0\u2022\u00a0Negligence<\/span><\/p>\n<\/td>\n<\/tr>\n

\n

\u00a0\u00a0\u2022\u00a0Supervisory Failures<\/span><\/p>\n<\/td>\n

\n

\u00a0\u00a0\u2022\u00a0Registration Violations<\/span><\/p>\n<\/td>\n<\/tr>\n

\n

\u00a0\u00a0\u2022\u00a0Excessive Use of Margin<\/span><\/p>\n<\/td>\n

\n

\u00a0\u00a0\u2022\u00a0Failure to Diversify Portfolio<\/span><\/p>\n<\/td>\n<\/tr>\n

\n

\u00a0\u00a0\u2022\u00a0Fraudulent Stock Research<\/span><\/p>\n<\/td>\n

\n

\u00a0\u00a0\u2022\u00a0Aiding Financial \u201cSuicide\u201d<\/span><\/p>\n<\/td>\n<\/tr>\n

\n

\u00a0\u00a0\u2022\u00a0Failing to Follow Buy-Sell<\/span>
\u00a0\u00a0\u00a0\u00a0\u00a0\u00a0Instructions<\/span><\/p>\n<\/td>\n

\n

\u00a0\u00a0\u2022\u00a0Failure to Follow Investment<\/span>\u00a0Strategy Instructions<\/span><\/p>\n<\/td>\n<\/tr>\n

\n

\u00a0\u00a0\u2022\u00a0Churning Your Portfolio<\/span><\/p>\n<\/td>\n

\n

\u00a0\u00a0\u2022\u00a0Excessive Trading<\/span><\/p>\n<\/td>\n<\/tr>\n

\n

\u00a0\u00a0\u2022\u00a0Stock Manipulation<\/span><\/p>\n<\/td>\n

\n

\u00a0\u00a0\u2022\u00a0Conflicts or Trading Against Your Interest<\/span><\/p>\n<\/td>\n<\/tr>\n

\n

\u00a0\u00a0\u2022\u00a0Over Concentration in a Specific Type<\/span>\u00a0or Kind of Investment<\/span><\/p>\n<\/td>\n

\n

\u00a0\u00a0\u2022\u00a0Opening Account Documentation<\/span>\u00a0Falsification<\/span><\/p>\n<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n

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[et_pb_section fb_built=”1″ _builder_version=”4.9.7″ _module_preset=”default” background_image=”https:\/\/millersandiegoattorney.com\/wp-content\/uploads\/2021\/07\/law-firm-18.jpg”][et_pb_row _builder_version=”4.9.7″ _module_preset=”default”][et_pb_column type=”4_4″ _builder_version=”4.9.7″ _module_preset=”default”][et_pb_text _builder_version=”4.9.7″ _module_preset=”default” text_font=”|700|||||||” text_font_size=”32px” hover_enabled=”0″ sticky_enabled=”0″] Investor Claims [\/et_pb_text][\/et_pb_column][\/et_pb_row][\/et_pb_section][et_pb_section fb_built=”1″ _builder_version=”4.9.7″ _module_preset=”default”][et_pb_row _builder_version=”4.9.7″ _module_preset=”default”][et_pb_column type=”4_4″ _builder_version=”4.9.7″ _module_preset=”default”][et_pb_text _builder_version=”4.9.7″ _module_preset=”default” custom_margin=”-61px|||||”] We have brought securities arbitration and commodities arbitration claims for our investor clients (individual and corporate investors). We have successfully litigated securities arbitration and other […]<\/p>\n","protected":false},"author":1,"featured_media":0,"parent":0,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"_et_pb_use_builder":"on","_et_pb_old_content":"","_et_gb_content_width":"","footnotes":""},"class_list":["post-161","page","type-page","status-publish","hentry"],"_links":{"self":[{"href":"https:\/\/millersandiegoattorney.com\/index.php\/wp-json\/wp\/v2\/pages\/161","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/millersandiegoattorney.com\/index.php\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/millersandiegoattorney.com\/index.php\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/millersandiegoattorney.com\/index.php\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/millersandiegoattorney.com\/index.php\/wp-json\/wp\/v2\/comments?post=161"}],"version-history":[{"count":2,"href":"https:\/\/millersandiegoattorney.com\/index.php\/wp-json\/wp\/v2\/pages\/161\/revisions"}],"predecessor-version":[{"id":164,"href":"https:\/\/millersandiegoattorney.com\/index.php\/wp-json\/wp\/v2\/pages\/161\/revisions\/164"}],"wp:attachment":[{"href":"https:\/\/millersandiegoattorney.com\/index.php\/wp-json\/wp\/v2\/media?parent=161"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}