Securities Litigation and Mutual Fund Fraud FAQ

Reno, NV Attorney serving Nevada & California


What are securities?

The term "securities" most commonly refers to stocks, bonds, mutual funds, options, variable annuities, limited partnerships and other products sold by a stockbroker or financial planner. By purchasing a stock, an investor is purchasing a small percentage of ownership in the company or corporation in hopes that the stock value will rise as profits increase. When an investor purchases a bond, he or she is loaning money to a corporation or issuer with the assumption that the bond will be repaid with interest. Stockbrokers are legally allowed to buy, sell and trade for their clients. Investors trust that their stockbrokers and financial advisors will have their best interests in mind when recommending securities investments and trading on their accounts.

What constitutes mutual fund fraud or securities fraud?

Securities fraud occurs when a stockbroker or financial advisor takes advantage of an investor for personal gain. Tainting of information, withholding information, misleading investors, presenting false information, and other dishonest activities may be considered securities fraud.

What should I do if I have been the victim of securities or mutual fund fraud?

If you suspect you may have lost investment money due to the misleading or unsound advice of a stockbroker or financial advisor, you should contact a knowledgeable and experienced securities litigation lawyer right away. Litigation lawyer Thomas C. Bradley has over 20 years of experience as a litigation lawyer. Mr. Bradley will work hard to get your hard earned money back.

What remedies are available for victims of stock fraud and mutual fund fraud?

Mr. Bradley will attempt to recover the full amount of your investment lost from bad advice or unfair dealing on the part of your stockbroker or financial advisor. A client's out-of-pocket losses are calculated as the amount of the client's investment minus the returns and residual value. Mr. Bradley will also seek to recover the amount of profits that may have been earned had you not followed your broker's bad advice. Punitive damages, attorneys' fees, and any other costs incurred as a result of the misconduct may also be awarded.

Are there time limits on a stockbroker misconduct claim?

Yes, but they vary depending on the type of case you have. Some forums have a six-year eligibility period meaning that claims older than six years may not be filed. If you suspect you may be the victim of investment or mutual fund fraud, set up a free mutual fund fraud consultation with knowledgeable and experienced securities litigation lawyer Thomas C. Bradley today to avoid any time restrictions.

How do I recognize signs of securities fraud or mutual fund fraud?

Dishonest stockbrokers may make an excessive amount of trades, attempt to sway you to purchase securities above your risk level, trade without your permission, misrepresent information, withhold information, avoid your calls, and other questionable activity. If any of the activity on your account seems unjustified or suspect, contact securities litigation lawyer Thomas C. Bradley right away. Our securities experts will review your statements to identify signs of misconduct.

What can a securities fraud expert do for my case?

Our securities fraud experts have many years of experience working in a brokerage firm and providing litigation support to securities litigation lawyers all over the United States. They know the laws, rules and regulations governing the way a stockbroker must conduct his business. Through their decades of experience as stockbrokers, branch managers and litigation consultants, they are able to identify even the most discreet signs of stockbroker fraud.

A securities fraud expert can help you and your securities litigation lawyer form an airtight case against the broker or financial advisor. Thomas Bradley utilizes skilled securities fraud experts to create a strong case for each client.

For answers to all your securities and mutual fund fraud questions, please contact our office today for caring legal advice and a free review of your financial portfolio by calling 775-323-5178. Serving San Francisco, Sacramento, Oakland, California and Reno, Nevada.