Handling Stock Fraud with Legal Help

Handling Stock Fraud with Legal Help

Handling Stock Fraud with Legal Help

What do you do if you think that a broker or brokerage firm is involved in unlawful activities? If you were an individual investor and the fraudulent activities of such an entity leaves you with no other choice but seek help from others, it is necessary that you know whom to ask for help.

You would need the advice of a capable stock fraud lawyer when you seek justice. However, before you consult a legal practitioner, here are a few details you need to know regarding these matters.

What is the first step to take? You may try to resolve the issue directly with the broker/adviser, branch manager or the firm's compliance department. If you are sure about fraudulent activities of their part, make sure to put your compliant in writing.

Where do you complain if your attempts fail? There are three options where you can file a complaint the Office of Investor Education and Advocacy of US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority's office, or the State's Securities Administrator.

How does the SEC deal with the complaint? The Commission analyzes your complaint and determines whether to send it to the Division of Enforcement. If this does not seem like a necessity, they may send the complaint to the broker/firm and ask for a report.

What to do if the SEC investigation does not yield the results you want? The SEC does not have the authority to arbitrate or judge. If the problem remains, you need to get a competent stock fraud lawyer to work on mediation, arbitration or litigation.

Do you need legal representation? Yes. In most cases, the other party would have legal representation. In such a case, if you do not have a lawyer's guidance and representation, it could put you in a position of disadvantage.

Do you get your money back? If your lawyer is capable of establishing the use of fraudulent means in the securities investment with arbitration or litigation, you may be able to recover your money.

Is there a time limit applicable? Yes, and it is a strict one. You may be unable to pursue any action against the broker or brokerage firm if you miss this deadline. You may file a complain with the SEC. However, this does not mean that you delay in seeking legal help for this this mistake could cost you dearly later.

If you suspect fraud, get in touch with a legal practitioner specializing in stocks and securities immediately.

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