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The Role of a Securities Arbitration Lawyer in Dispute Resolution

There are two ways of handling investment and financial securities-related disputes. One is litigation and the other is arbitration. Litigation involves taking legal action while arbitration is about resolving the dispute outside the court through mediation by an impartial third party panel. Securities arbitration lawyers represent investors, brokers, brokerage firms, etc. in such cases of fraud. In this blog, let’s discuss what securities fraud is and its implications, securities arbitration, the role and importance of a securities fraud lawyer https://frankowskifirm.com/practice-areas/securities-arbitration/in dispute resolution, and the arbitration process.  Securities Fraud and Its Implications Stock and commodities markets are highly sensitive and misleading investors can lead to huge monetary losses. There are some common types of securities fraud as mentioned below -  Misrepresentation or Omission of information: Conveying false information to the investor or withholding and not disclosing important information to make an informed decision about a security.  Insider Trading: Gathering non-public material information and trading based on it is called insider trading.  [...]

By |August 30th, 2024|Legal Matters|
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Safeguard Your Finances: The Role of a Stock Broker Fraud Attorney in Financial Fraud Cases

Unethical and deceitful investment schemes are on the rise, having a weighty impact on the financial well-being of those affected. Thus, safeguarding finances from fraud is an essential practice for individuals and organizations to avoid losses. In case such fraud is committed, the role of a stockbroker fraud attorney becomes critical in protecting the victim’s interests and recovering the lost amount to make sure justice is served.  Understanding Financial Fraud  Financial fraud is of various types like Ponzi schemes, unauthorized trading, misrepresentation, churning, etc. The reason why financial fraud is taken so seriously is because it hampers the trust people have in financial markets through severe financial damage that cripples people’s lives. Since these schemes and their documentation are so complex, professionals with experience can identify, address, and recover the lost funds.  Understanding Ponzi Schemes  Let’s take a look at Ponzi schemes in detail. It is a type of financial fraud in which the returns are paid to earlier investors [...]

By |July 30th, 2024|Legal Matters|
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How Investment Fraud Lawyers Can Help You Recover Losses

If you have landed on this blog, then unfortunately, you or someone you may know may have been a victim of an investment fraud. Or maybe you simply want to gain awareness about this issue and find out how an investment fraud attorney can be helpful in such situations to safeguard yourself. In either of the cases, you are at the right place. In this blog, you will find relevant information about the following sub-topics:  How investment fraud attorneys can help you recover losses  Understanding investment fraud The role of investment fraud lawyers  Why you need an investment fraud lawyer How to choose the right investment fraud lawyer    How Investment Fraud Lawyers Can Help You Recover Losses With the growing number of  fraud cases , individuals and businesses alike are affected by deception leading to great financial losses. When you find yourself in the middle of such a situation, it’s time to hire an investment fraud lawyer. Professional expertise [...]

By |July 26th, 2024|Legal Matters|
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Supervisory failure leads to $500K fine by FINRA: An insight into Oppenheimer & Co. Case

In a wake up call for broker-dealers, the Financial Industry Regulatory Authority (FINRA) has slapped a whopping fine of $500,000 on Oppenheimer & Co. for failing to properly supervise certain trades. As reported, Oppenheimer's brokers are under target for directly placing trades with fund companies on behalf of customers without requisite inspection bringing the supervisory under scanner for lapses in framework.  Let’s look at the case and try to understand the situation at hand, the importance of supervision in brokerage firms, and why consulting a securities fraud lawyer is essential to safeguard your interests in such a case.  The Oppenheimer & Co. Case(FINRA): An Overview It all happened between January 2011 and December 2015 when Oppenheimer and Co., a big bull in the New York broker-dealer segment, processed around $753 million in early rollovers of UIT transactions out of the total $6.4 Billion.  FINRA, which is a not-for-profit organization working towards ensuring investor protection and market integrity, identified lapses in [...]

By |July 3rd, 2024|Legal Matters, Blog, FINRA, investment fraud lawyer|
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Disclaimer: Mr. Frankowski is licensed in Alabama,Florida and Texas. He is not licensed in any other state including Nevada and California. Mr. Frankowski has represented investors from all over the country in securities cases including: Alabama, California, Colorado, Florida, Georgia, Illinois, Kentucky, Louisiana, Mississippi, Nevada, New Mexico New York, North Carolina, Tennessee, Texas.