When someone invests their money in stocks or bonds, they expect their stockbroker to act with integrity and honesty.
Investors need to be proactive regarding their money.
It’s understood and readily accepted that there will be both highs and lows in the market, therefore you must be able to totally trust the company or broker managing your investments.
Be wary of anyone who tries to offer their services who offers to manage your investments and stocks.
Securities fraud occurs when officers or directors in the market begin to manipulate investors’ stocks by breaking the law. This might be withholding vital information, distorting the true facts or disclosing/revealing confidential information all in an effort to keep the profits.
Anyone who is planning on building his or her portfolio must take the time to do full research, checking to see if any disciplinary actions have been filed against the broker or firm.
If you feel that you have been the victim of any type of investment fraud, you should contact the Securities and Exchange Commission or the National Association of Securities Dealers.
If you are a broker and have been accused of securities fraud, it is imperative that you contact an attorney who has proven, verifiable experience handling security and investment fraud cases. Your future career is hanging in the balance.