Investment Fraud Lawyers | Haselkorn & Thibaut

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Securities Fraud Lawyer

Haselkorn & Thibaut Fights For Investors

Investment fraud occurs when a financial professional, such as a broker or advisor—specifically a stockbroker or financial advisor—engages in deceptive practices to mislead clients, often resulting in significant financial losses for investors. In many cases, investors have lost money due to these fraudulent activities.

Suppose you believe you are a victim of investment fraud. In that case, it is crucial to consult an experienced securities fraud lawyer who can help you recover your losses and hold the responsible parties accountable. Our legal professionals have the proven expertise to guide you through the process and pursue claims against a stockbroker or financial advisor who has committed misconduct or negligence.

Introduction to Investment Fraud

Investment fraud occurs when a financial professional, such as a broker or advisor, uses deceptive practices to manipulate investments, often resulting in significant financial losses for investors. The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) are the primary regulatory bodies overseeing the securities industry, working diligently to protect investors from fraudulent activities and broker misconduct. Despite these safeguards, investment fraud still occurs, making it essential for investors to remain vigilant.

Investment fraud lawyers and attorneys play a crucial role in helping victims recover their losses and holding those responsible accountable.

Whether the fraud involves securities fraud, hedge fund fraud, or other forms of broker misconduct, experienced legal professionals can help protect investors’ financial interests. Understanding the different ways investment fraud can occur is the first step in safeguarding your assets and ensuring that your investments are managed ethically and transparently.

Investors Should Not Pay for Investment Fraud or Mistakes by Financial Advisors and Broker-Dealers

Investment losses can appear simple on the surface, but often involve a multitude of legal and regulatory issues that may have caused or contributed to those losses. For example, the term securities fraud may seem simple, but it can be a complex area of the law and there are many different ways to prove evidence of securities fraud.

Investment fraud occurs when a financial professional, such as a broker or advisor, uses deceptive practices or misrepresentation to manipulate investments, often resulting in significant losses for investors.

When customers of financial services firms or investment firms notice investment losses, they are generally not familiar with the complex legal or regulatory issues that may constitute securities fraud, negligence, or other improper behavior by a financial professional. They just know that something was not right and something caused the losses in the portfolio. They often recognize the loss and often realize that their financial security (perhaps their retirement, or their ability to maintain their lifestyle, etc.) may now be in jeopardy.

If you suspect you are a victim of investment fraud, it is important to consult a lawyer to determine if you have an investment fraud claim, there is limited time to make a claim.

Why Clients Choose Our Investment Fraud Attorneys

With over 50 years of experience and millions recovered, our investment fraud lawyers fight aggressively to recover losses for investors. As experienced securities lawyers, we have a proven track record of representing investors and understanding the tactics used by broker-dealers, giving us a unique advantage in advocating for abused investors.

The only thing worse than losing investment money is not recovering money when you could have recovered funds. The right investment fraud lawyer will take fast legal action that includes FINRA Arbitration or filing complaints with FINRA and SEC. Although the process may seem complex, or intimidating, we make it easier for investors. Clients choose our firm because:

As former licensed securities brokers, we are extremely familiar with the financial industry.
We began our legal careers defending major broker-dealers, and we can anticipate their strategies and defenses.
We have recovered millions of dollars for our clients against some of the largest firms on Wall Street.
For approximately 50 years, our attorneys have handled thousands of securities cases in FINRA, NASD, and NYSE arbitration, as well as in state and federal court.
We have extensive experience representing clients in investment fraud cases and securities litigation, including disputes with brokerage firms and regulatory enforcement actions.
We have the legal experience, the securities industry background, and regulatory knowledge and experience to help you even the playing field and obtain the maximum financial recovery of your investment.
We utilize the experience, resources, and power of a large law firm while providing clients with the highest level of boutique law firm service.
Most cases are handled on a contingency fee basis. We only receive attorney’s fees if we obtain a recovery.

Our firm has successfully handled cases in both state and federal courts, demonstrating our ability to navigate complex legal matters across different judicial systems.

Time is against most investors who face investment fraud. It is very important that action is taken in a timely manner. Haselkorn and Thibaut P.A, the Investment Fraud Lawyers, specialize as investment fraud attorneys with over 50 years of industry experience. Our investment fraud lawyers are knowledgeable and experienced in the complex legal and regulatory areas needed to assist you in recovering your investment. Effective legal representation is crucial in complex investment fraud matters to protect your rights and maximize your recovery.

As former licensed brokers and defense lawyers, they have an insider’s view of those legal and regulatory issues, and how the financial services firms and their lawyers often treat and evaluate these matters. You should have their knowledge and experience on your side, aggressively fighting to make things right and help you recover your investment. Call us today for a free consultation.

Types of Investment Fraud

There are several types of investment fraud that investors should be aware of. Securities fraud is one of the most common, involving the misrepresentation or omission of material facts about an investment.

Other prevalent forms include Ponzi schemes, where returns are paid to earlier investors using the capital of new investors, and excessive trading (also known as churning), where financial advisors or broker dealers make unnecessary trades to generate commissions.

Unauthorized trading, where investments are bought or sold without the investor’s consent, is another serious violation.

Investment fraud can occur across a variety of investment vehicles, including stocks, bonds, mutual funds, and alternative investments. Financial advisors and broker dealers may engage in fraudulent activities that put clients at risk, especially when high-pressure sales tactics or unsolicited investment opportunities are involved.

Being aware of these red flags and understanding the different types of investment fraud can help investors protect themselves from significant financial harm.

Signs of Investment Fraud

Investing your hard-earned money can be exciting, but it’s important to keep an eye out for potential red flags. Unfortunately, not all financial advisors have your best interests in mind, and some financial professionals may try to lure you in with promises of guaranteed returns or complex investment strategies that sound too good to be true.

Examples of broker misconduct and deceptive practice include excessive trading (churning) to generate commissions, or recommending investments that are not suitable for your financial situation.

Beware of high-pressure sales tactics and unsolicited investment opportunities that could be a sign of investment fraud. Recommending unsuitable investments is a common tactic in investment fraud and can lead to significant losses for clients. And if a financial advisor is being secretive or evasive about their investment practices, it’s time to ask questions.

Remember, a legitimate financial advisor should be transparent and able to explain their investment strategies in a way that you can understand. By being vigilant and staying informed, you can make sound investment decisions that help you achieve your financial goals.

Investment Fraud Red Flags

High-pressure sales are common in investment fraud.
Promises of little to no risk. The truth is that every investment has risk, from government bonds to speculative high-tech stocks. Investors are always on the lookout for investment opportunities that will increase their returns while minimizing risk. However, investment frauds will often trumpet the safety of their investment opportunities. They will often make promises of significant profits without underlying risk. Be wary of anyone who offers an investment that promises great returns with minimal risk.
Overly complex or vague descriptions of how the investment generates a return.
Unrealistic guarantees of significant returns in short periods of time.
Unauthorized trading of investments.
Buying and selling investments such as commission-based mutual funds.
Avoiding questions and requests for documentation.
Lack of licenses and certifications.
Difficulty cashing out.
Alternative investments, including real estate investment trusts (REITs) and private placements, are often high-risk and can be associated with fraud due to their illiquidity and lack of transparency.
Private placements are unregistered securities that may lack proper oversight, making them susceptible to fraudulent activity and investment claims.
Ponzi scheme is a classic example of investment fraud, where returns are paid to earlier investors using the capital of new investors rather than legitimate profits.

The Importance of Due Diligence

Due diligence is an essential safeguard for anyone considering an investment, serving as the first line of defense against investment fraud and securities fraud. The Financial Industry Regulatory Authority (FINRA) and other regulatory bodies stress that thorough due diligence can help investors avoid falling prey to fraudulent investment schemes, ponzi schemes, and other deceptive practices that are unfortunately all too common in the financial industry.

Working with financial advisors who are registered with the Securities and Exchange Commission (SEC) and who uphold their fiduciary duties is crucial. A financial advisor with a fiduciary duty is legally obligated to act in your best interests, providing investment advice that prioritizes your financial goals over their own interests or those of their investment firm. This level of trust and accountability is vital in protecting your assets and ensuring your investment strategy is sound.

Experienced investment fraud attorneys in Los Angeles and across the country recommend a proactive approach to due diligence. This means carefully reviewing financial statements, scrutinizing investment portfolios, and verifying that all investments are legitimate and suitable for your risk tolerance. It’s also important to research the background of the investment firm and its management team, ensuring they are registered with the appropriate industry regulatory authority, such as FINRA, and have a solid track record in the securities industry.

Be especially cautious of investment opportunities that promise high returns with little or no risk, or those involving unregistered securities. These are often hallmarks of investment scams and can lead to significant financial losses. Monitoring your brokerage accounts regularly can help you spot unauthorized trades or other signs of investment misconduct early.

To protect yourself from investment fraud, consider these due diligence steps:

Research the investment firm and management team for regulatory registration and a history of ethical conduct.
Review all financial statements and ensure your investment portfolio aligns with your financial goals and risk tolerance.
Be skeptical of offers involving unregistered securities or that seem too good to be true.
Work only with financial advisors who are bound by fiduciary duties to act in your best interests.
Regularly monitor your investment accounts for unauthorized trades or suspicious activity.

By taking these precautions, you can help safeguard your financial interests and reduce the risk of suffering financial losses due to investment fraud.

If you suspect investment fraud or have experienced investment loss as a result of investment misconduct, contact an experienced investment fraud attorney. Our legal team can guide you through the legal process, represent your interests, and help you pursue financial recovery.

Understanding Brokerage Firms

Brokerage firms are central players in the securities industry, employing financial advisors and broker dealers who execute trades and manage investments on behalf of clients. It is important for investors to understand how these firms operate and to research the background and registration status of both the firm and its employees. The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) provide resources for verifying the legitimacy and regulatory compliance of brokerage firms.

Unfortunately, not all brokerage firms act in the best interests of their clients. Some may engage in fraudulent activities such as churning—excessive trading to generate commissions—or selling unregistered securities, both of which can lead to significant investment losses. By staying informed and conducting due diligence, investors can better protect themselves from potential misconduct within the securities industry.

The Role of Financial Advisors

Financial advisors play a vital role in helping investors make informed decisions and achieve their financial goals. They are responsible for providing suitable investment advice and fully disclosing all risks associated with recommended investments. As fiduciaries, financial advisors are legally obligated to act in the best interests of their clients, prioritizing client needs over their own.

Investors should be cautious of financial advisors who use high-pressure sales tactics, recommend unsuitable investments, or engage in unauthorized trading. These behaviors are often signs of investment fraud or a breach of fiduciary duty. Experienced investment fraud attorneys can assist investors in determining whether their financial advisor has acted improperly and can help pursue recovery if necessary. Regularly monitoring your investment accounts and promptly reporting any suspicious activity to the Financial Industry Regulatory Authority (FINRA) or the Securities and Exchange Commission (SEC) are essential steps in protecting your financial future.

What to Do If You Suspect Investment Fraud

If you suspect you are a victim of investment fraud, please do the following:

Document everything you can about the suspect investment.
Get help. If you suspect fraud, an investment fraud attorney can help you plan your next steps. Our lawyers can help you understand the laws surrounding an investment and the strategy for recovery. We can investigate what has happened and where your investment may have gone and offer advice about the best steps for moving forward.

Don’t let fraudsters walk away with your hard-earned money. Fight back. Contact us today for a free consultation.

Securities and Investment Fraud FAQs

Please feel free to contact us for any questions or a free case review.

Learn More About:

Below are some of the popular questions people ask:

What is Stock Broker or Financial Advisor Fraud?

There are many forms of stockbroker fraud that can range from lying to misrepresenting investment products. We offer a free service to review investors' portfolios and financial advisors for all investment fraud issues, including those involving investment advisors, investment advisers, and registered investment advisers. You can also search online with a service by FINRA, called “Broker Check.” that will allow you to search broker-dealers and stockbrokers.

How do I find a good investment fraud attorney?

The best way to find a good investment fraud attorney is to interview multiple lawyers and find the one that has the most experience in securities investment fraud and meets your personal expectations. Look for attorneys who are experienced securities fraud lawyers and securities fraud attorneys, as they are skilled in handling a wide range of investment fraud cases.

What does an investment lawyer do?

An investment fraud lawyer helps clients recover losses from financial advisors and broker-dealers. Much of the work involves understanding securities products and FINRA rules and regulations. They also represent clients in investor claims and securities law violations, advocating for those who have suffered investment losses.

How can I pay for a lawyer with no money?

Most of our clients do not pay our firm anything until we win the case. We work on a contingency basis and don't require any payment to start. In addition, we offer a free consultation. We represent clients who have suffered financial losses and are committed to helping them recover investment losses.

What are Ponzi schemes?

Ponzi schemes are investment scam that fake returns and uses the money from new investors to pay existing investors. Fraud can also occur in hedge funds, where improper practices and misrepresentations may lead to significant investor losses.

What is a breach of fiduciary duty?

A breach of fiduciary duty is when a principal (such as a financial advisor) fails to act in the best interests of a client. Such breaches may also involve securities law violations, which can be the basis for legal claims.

What is the fastest way for investors to recover losses from brokerage firms?

One of the fastest ways for investors to recover losses from an investment firm or financial advisor is through a FINRA arbitration claim. Investor claims are often handled by a securities fraud attorney who can guide you through the process to recover investment losses.

What is Financial Industry Regulatory Authority (FINRA)?

The Financial Industry Regulatory Authority (FINRA) is a private self-regulatory organization that regulates broker-dealers and stockbrokers. They are charged with licensing, registration, arbitration, and enforcement. The organization is based in New York and is formally known as the NASD. FINRA also plays a key role in regulating investment advisors and financial institutions to protect investors.

How do I know if I have a case?

Every situation is unique, but we can typically guide you in the right direction after a short initial no-cost consultation in person or by telephone. We try to answer all of your questions and provide you with relevant information so that you can make informed decisions about your situation. If you have suffered investment losses, we can help determine if you have grounds to recover investment losses through legal action.

How long will the process take?

While it does vary depending on the individual circumstances, and there are several potential strategies that can be considered for expediting cases, most FINRA securities arbitration, and investment litigation matters are concluded within a 12-14 month time frame from the filing date.

Is information about my arbitration claim publicly available?

Settlements are typically confidential and the arbitrators may issue an Award. The Award alone would be public; however, the Award typically will not include any personal details beyond the result in the case. In some instances, related matters may be filed in federal courts, where records can be public, and defense attorneys may be involved in those proceedings.

What types of clients does your firm represent?

We have and continue to represent individual investors, trusts, corporations, pension plans, charitable organizations, and various entities. Our firm also represents investors, investment advisors, investment advisers, registered investment advisers, and financial institutions in a wide range of securities law matters and investor claims.

Why Choose InvestmentFraudLawyers.com?

In a single word: Experience.

We have personally worked for several years in the financial services industry. We have experience on all sides and in virtually every type of matter in this area. We have in-house brokerage firm experience, compliance-side experience, as well as a combined over 50 years of securities arbitration and investment litigation experience. Our team has extensive knowledge of securities law, securities laws, and experience litigating cases in federal courts.

How are you compensated?

Every case and every situation is different, as is every client relationship. We are committed to working with our clients to arrange cost-effective litigation strategies and we have arrangements that include hourly, contingency, hybrid, or alternative fee arrangements depending on what makes sense for our clients in every case. We represent clients who have suffered financial losses and work to help them recover investment losses.

Who are the arbitrators?

Arbitrators are generally three neutral individuals who serve as the judge and jury for your case. Some have more arbitration experience than others; however, in order to become an arbitrator, one must apply and receive training.

Well-recognized securities arbitration forums include Financial Industry Regulator Authority (FINRA), American Arbitration Association (AAA), and JAMS. FINRA is the most common arbitration forum and you can learn more about the process and who the arbitrators are at www.finra.org.

What is the normal process with a Financial Industry Regulatory Authority (FINRA) Arbitration?

The current FINRA Arbitration process can be seen here: http://www.finra.org/arbitration-and-mediation/arbitration-overview The Investment Fraud Lawyers is a full-service firm that was established over 30 years ago, which traces its roots in Palm Beach County decades before then. Originally created by merging three established law firms.

Securities fraud lawyers play a key role in representing investors throughout the arbitration process, ensuring their rights are protected and their claims are effectively presented.

Additional practice areas include probate, wills and trust, estate and trust litigation, tax/corporate, appellate, family/divorce, commercial litigation, real estate, zoning, and construction litigation among our various practice areas.

Please do not hesitate to contact Jason or Matt regarding any of these other matters, with experienced attorneys in all of these practice areas, we look forward to assisting you in your case.

Searching For "Investment Fraud Lawyers Near Me"

Are you looking for an “investment fraud lawyer near me”? We can help investors nationwide with exceptional personal service, whether you are meeting us in person or virtually.

Please call 1-888-902-6872 or fill out the form to discuss your case with one of our experienced securities attorneys.

Our firm specializes in dealing with various investment strategies and is ready to assist clients who suspect investment fraud in any of the listed states:

Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming.

Current Cases & Investigations

Investors often chalk up losses in their annuity contracts, portfolios, or brokerage accounts to bad luck or their own mistakes. However, it’s important to realize that sometimes these losses are a result of fraud or misconduct by brokers or financial advisors. Broker misconduct is a significant factor in many investment fraud cases, where improper or unethical actions by brokers can lead to substantial investor losses. If you suspect that you’ve been a victim of investment fraud, it’s crucial to seek the guidance of a qualified investment fraud lawyer with expertise in securities and insurance.

At Haselkorn & Thibaut, we are dedicated to helping investors recover their losses due to fraud and wrongdoing by their brokers. Our firm has extensive experience handling investment fraud cases and helping clients recover investment losses through legal action, including arbitration and litigation. Our experienced investment fraud lawyer is available for a confidential and free consultation at 1-888-902-6872. Don’t let investment fraud go unchecked – contact us today to explore your legal options.

Urgent Alert: Easterly ROCMuni Fund Losses – Seek Recovery Now

Investors in the Easterly ROCMuni High Income Municipal Bond Fund (RMHIX, RMHVX, RMJAX) faced massive losses, with shares dropping over 50% from ~$6 to under $3 between June 12-16, 2025. Claims involve misrepresented risky junk bonds and inflated valuations.

Haselkorn & Thibaut, P.A. is investigating unsuitable broker recommendations from firms like Osaic Wealth and Stifel Nicolaus. If affected, contact us for a free consultation to pursue FINRA arbitration or compensation. Act fast – we’re ready to help!

Peakstone Realty Trust

Peakstone Realty Trust also announced the listing of its common shares on the New York Stock Exchange (NYSE) under the ticker symbol PKST. This move followed the company’s redemption of all of its outstanding convertible preferred shares. It’s worth noting that before this move, the company was known as Griffin Realty Trust and had undergone a name change to Peakstone Realty Trust, in addition to implementing a 1-for-9 reverse share split, as part of its preparations for the NYSE listing. Haselkorn & Thibaut is currently representing investors that were sold Peakstone Realty Trust (PKST), formerly Griffin Realty Trust. Contact us for a free recovery guide and investment loss recovery.

GWG Holdings Lawsuit & Bankruptcy | GWG L Bonds

Haselkorn & Thibaut is currently investigating GWG Holdings, GWG L Bonds, and the financial advisors and broker-dealers that sold them to investors. We currently represent GWG investors in GWG Holdings Lawsuits (FINRA). Please contact us for a free consultation and “GWG Investor Guide.”