Areas of Practice
 
Personal Injury
   Auto Accidents
   Trucking Accidents
   Motorcycle Accidents
   Premises Liability
   Products Liability
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Business & Commercial Law
   Breach of Contract
   Deceptive Trade Practices
   Misappropriation of Trade Secrets
   Unpaid Commissions
 
Investment & Securities Claims
   Types of Investment Claims
   Financial Advisor Misconduct
 
Overtime Claims
   About the Fair Labor Standards Act
   Coverage Under the FLSA
   FAQs
 
Whistleblower-Qui Tam Claims
   Qui-Tam Law Defined
   Types of Fraud
   The Qui-Tam Process
 
Employment Claims
   Employment Litigation – First Step
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Representation for Employers

 
 

Types of Investment Claims

Some of the most common types of investment fraud and abuse include:

Misrepresentations – Misstating the risks of an investment

Omissions - Failure to disclose the material risks of a investment

Unauthorized trading - Making trades without the client's knowledge or consent or against the client’s instructions

Churning (excessive trading activity) - Trading stocks for the primary purpose of generating broker commissions as opposed to increasing the client's assets

Annuity switching – A form of churning which involves switching a client from one annuity to another in order to earn an additional commission

Unsuitability - Recommending investments that are clearly unsuitable for the client. An example of this would be an investment professional selling a client a variable annuity which would not mature until after the client's likely lifespan.

Excessive or unsuitable use of margins - Exposing an investor to substantial risk through a margin account (a brokerage account with a line of credit that makes substantial profit for the brokerage firm)

Failure to diversify client’s portfolio - Placing too much of a portfolio in one type of investment, whether it is one stock, one industry, or one level of risk

To learn more about these and other types of financial fraud, contact Dozier Law Group. If you or a member of your family has lost more than $100,000 due to incompetence or fraud by a financial advisor, call attorney Brad Dozier at (404) 949-5600 for an initial consultation and case evaluation.

Investment Claims & Securities Law | Types of Investment Fraud
Broker & Financial Advisor Misconduct



Dozier Law Group represents clients in and around the Atlanta metro area, including Alpharetta, Fairburn, Roswell, Sandy Springs, Decatur, Lithonia, Druid Hills, Dunwoody, Tucker, Marietta, Smyrna, Vinings, Duluth, Acworth, Fayetteville, Marietta, Kennesaw, Lawrenceville, Norcross, Chamblee, Snellville, Woodstock, Gainesville, Morrow, Carrollton, College Park, Peachtree City, Riverdale, Newnan, Conyers, Covington, Canton, Milton, John's Creek, Stockbridge, McDonough, Douglasville and other cities throughout the state of Georgia.


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This website is for informational purposes only and not for the purpose of rendering legal advice. The material and information in this website should not be construed to contain legal advice. While we will treat any information provided as privileged and confidential, you should understand that when you provide information about a potential case to Dozier Law Group, LLC, we do not become your attorneys based solely on the receipt of the information. With your permission, we may use your information to investigate whether you have the basis for a valid legal claim or defense. However, until a written representation agreement is signed formalizing an attorney-client relationship, Dozier Law Group, LLC does not represent you and has not agreed to do so.