Sales Practice Obligations

Puerto Rico Securities Fraud & Stock Broker Misconduct

Private Placement/Regulation D

Ponzi Schemes

New York Securities Fraud & Stock Broker Misconduct

Stockbrokers have a responsibility to handle your account with care and keep you informed about the nature of your investments. When a stockbroker neglects to live up to this responsibility or deceives you about your investments, you may be able to bring a claim to recover your losses.

Misrepresentation & Omissions

Not only is your stockbroker responsible for giving you accurate information about the risks associated with recommended investments, your broker also must accurately describe the nature of the recommended investments so that you know what you are are investing in.