Our recent cases involve Ponzi schemes, broker theft, unsuitable investments, unregistered offerings, and IPO misrepresentations, pursuing investor recovery through FINRA arbitration and securities litigation nationwide.
Securities Fraud & Investment Misconduct
Securities Fraud & Investment Misconduct
- Based in New York and California, our securities fraud attorneys represent investors harmed by fraud and investment misconduct across the country. We focus exclusively on plaintiff-side securities fraud claims, including disputes involving dishonest brokers, unregistered offerings, Ponzi schemes, and failures by financial institutions to protect their clients.
- The securities markets rely on trust and transparency. When that trust is broken—through fraud, misrepresentation, or violations hidden in fine print—investors often suffer life-altering losses. Our firm is dedicated to holding wrongdoers accountable and pursuing recovery for victims who were misled or financially harmed.
Ponzi Schemes and Investment Fraud
- We represent victims of Ponzi schemes and other fraudulent investment programs, including schemes disguised as legitimate private offerings, hedge funds, real estate investments, cryptocurrency ventures, or alternative assets. These cases often involve false promises of steady returns, fabricated account statements, misuse of investor funds, or the recycling of new investor money to pay earlier participants.
- Many Ponzi schemes collapse only after years of losses, leaving victims unsure whether legal remedies exist. We investigate the full scope of the fraud, identify responsible parties, and pursue claims against promoters, brokers, control persons, and, where appropriate, financial institutions that enabled or ignored obvious red flags.
Broker Theft, Misappropriation, and Securities Fraud
- Brokers and financial advisors occupy positions of significant trust. When that trust is violated, the harm extends beyond dollars and cents. Our securities fraud attorneys have experience representing clients in cases involving:
- Theft or misappropriation of investor funds
- Unauthorized trading or transfers
- Churning and excessive trading
- Self-dealing and undisclosed conflicts of interest
- Recommendations of unsuitable investments
- These cases frequently arise in retirement accounts, discretionary accounts, or situations involving elderly or inexperienced investors. We understand the emotional and financial toll these violations cause and aggressively pursue recovery through arbitration and litigation. Our attorneys have decades of experience handling these types of matters, which are normally adjudicated through arbitrations conducted before the Financial Industry Regulatory Authority, or FINRA.
IPO Fraud and Misrepresentations
- We represent investors harmed by misstatements and omissions in connection with initial public offerings (IPOs) and related securities offerings. These cases may involve misleading disclosures, inflated valuations, undisclosed risks, or post-offering collapses that reveal problems known to insiders but concealed from the public.
- When companies, underwriters, or promoters fail to provide accurate and complete information, investors bear the cost. Our firm examines offering materials, marketing representations, and insider conduct to determine whether securities laws were violated and whether investors have viable claims.
Attorney Marc Fitapelli Discussing Federal Securities Law
- Unregistered Securities and Private Placement Abuse
- A significant portion of investor losses arise from private placements and unregistered securities offerings that violate federal and state securities laws. These offerings are often sold to retail investors as “exclusive” or “safe” opportunities, despite failing to meet registration requirements or exemption standards.
We represent investors in cases involving:
- Private placements under Rule 506(b) that were never registered with the Securities and Exchange Commission
- Offerings sold to investors who did not qualify under exemption rules under Section 4(a)(2) of the Securities and Exchange Act.
- Misrepresentations about risk, liquidity, or use of funds
- Improper commissions or undisclosed compensation to brokers
- Unregistered offerings frequently strip investors of transparency and legal protections. Our securities fraud attorneys focus on uncovering these violations and seeking rescission, damages, and other remedies available under securities laws.
Plaintiff-Side Advocacy, Nationwide
- Our Securities Fraud Practice Group is built around one principle: investors deserve accountability. We do not represent brokers, investment firms, or financial institutions. Our allegiance is solely to victims of securities misconduct.
- We handle cases nationwide and regularly pursue claims through arbitration forums and courts where securities disputes are resolved. We understand that many investors hesitate to come forward—believing their losses are too small, their own decisions will be blamed, or the process will be overwhelming. Our role is to evaluate those concerns honestly and to pursue recovery where the law allows.
- If you have suffered losses due to fraud, deception, or misconduct in the securities markets, our firm is prepared to investigate your case and advocate on your behalf.
Our Recent Cases
Contact
- New York Office 28 Liberty Street New York, New York 10005
- California Office 1902 Wright Place, Suite 200 Carlsbad, CA 92008
- 800-767-8040