For help determining proving fraud and obtaining a financial recovery that allows you to stop worrying, call The Frankowski Firm at 888-741-7503 today. You can also complete our contact form.
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Dishonest brokers sometimes try to get around the compliance laws of the firm they work for by selling away securities the firm doesn’t hold or offer. Stockbrokers may also try to sell non-firm securities in order to obtain a commission. Brokers who try to circumvent investment firm compliance requirements should to be held accountable for all the financial harm they cause. Companies that let brokers get away with this misconduct should also be held accountable for the harm the brokers caused.
The Frankowski Firm has the financial acumen to understand when brokers aren’t following the laws. When brokers convince investors to purchase illegitimate securities, or securities that have not been approved by the broker’s company, investors should fight back. We can help investors recover money lost by unscrupulous brokers that engage in selling away
Some red flags supervisors should look for to detect selling away, according to the SEC Division of Market Regulation, Staff Legal Bulletin No.17 (Remote Office Supervision) (March 22, 2004), are:
If a broker engaged in selling away, our team can bring a claim against the brokerage firm for failure to supervise the broker and for vicarious liability.
For help determining proving fraud and obtaining a financial recovery that allows you to stop worrying, call The Frankowski Firm at 888-741-7503 today. You can also complete our contact form.
The recoveries, verdicts, favorable outcomes, and testimonials described on this site are not an indication of future results. Every case is different, and regardless of what friends, family, or other individuals may say about what a case is worth, each case must be evaluated on its own facts and circumstances as they apply to the law. The valuation of a case depends on facts, the damages, the jurisdiction, the venue, the witnesses, the parties, and the testimony, among many other factors. No representation is made that the quality of the legal services performed is greater than the quality of the legal services performed by other lawyers.
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.
