How Does Investor Abuse Happen?

For many high net worth individuals, a lifetime of devotion and hard work have left them unprepared for the challenges of investing their wealth. Few have the time or inclination to learn a new area that is filled with complex charts and graphs, and an arcane vocabulary all its own. Instead, they turn to persons who claim to be uniquely “in the know.” For some, after giving these people their trust, their confidence, and their money, they are shocked to learn that over time much of their investment has passed into the hands of the salesperson. Those who suffer the ill effects of advanced age may never know.

On This Page

• Protecting the Rights of Investors
• Why Sanford Heisler Sharp McKnight is the Right Choice for Your Case
• Types of Investment Claims We’ve Handled

Protecting the Rights of Investors

When promoters take advantage of an unsuspecting public, investors have legal rights. The Securities Exchange Act of 1934 as well as a collection of state laws govern the conduct of those who sell investments to the public. Under these laws, sellers must act in the best interest of investors, recommend only suitable investments, charge only reasonable fees for their services, and disclose all important information to investors about the relationship and their investments.

Why Sanford Heisler Sharp McKnight is the Right Choice for Your Case

At Sanford Heisler Sharp McKnight, we have unique expertise to identify cases of investor abuse, and we pursue claims in both the courts and arbitration forums to benefit the elderly and high net worth individuals who have been wronged.

We have a dedicated Financial Services Litigation Practice Group founded by Charles Field, the former General Counsel of an SEC-registered investment management firm, where he oversaw compliance with securities laws and navigated a variety of investment products and services that are the very type at issue in the cases that Sanford Heisler Sharp McKnight pursues. Our Financial Services Litigation Practice Group has extensive experience evaluating complex investment data, investor agreements, and offering documents to evaluate whether you have been the victim of investment fraud.

Types of Investment Claims We’ve Handled

Sanford Heisler Sharp McKnight has pursued multiple claims against investment firms, promoters, and brokers. We prosecute a multitude of violations, including where:

• Promoters trolled millionaire dating sites to lure unsuspecting women into investing in worthless schemes
• Promoter created an investment fund to facilitate the sale of company stock in which they secretly held an interest
• Broker churned an elderly investor’s account and sold them unsuitable high-risk investments
• Broker falsified paperwork to conceal sale of worthless securities
• Broker sold unsuitable derivative securities to a customer without their knowledge

If you want to find out if your investor rights have been violated, reach out to the Financial Services Litigation Practice Group at Sanford Heisler Sharp McKnight.