Representing Plaintiffs Since 1895

Securities and Stockbroker Fraud

Attorneys at Hare Wynn have represented dozens of victims of stockbroker fraud and unethical and improper investing, where monies were negligently or fraudulently invested by unscrupulous agents. Many of our clients have suffered significant losses to their retirement and other investment accounts due to unauthorized trading by stockbrokers and brokerage firms. Many cases have involved claims where a stockbroker invested in stocks and securities were not authorized by the client or where stocks were maintained at a risk level which exceeded the risk tolerance allowed by the investment objectives set forth by the client in the brokerage agreement. Other cases have involved investments whereby a broker invested a large percentage of his client's monies in an effort to manipulate the price of a stock for his own personal gain.

Other types of securities and stockbroker fraud typically include:

• Buying or selling securities not registered with the Securities and Exchange Commission
• Willfully making false statements or omissions of fact in documents filed with the Securities and Exchange Commission

Engaging in interstate communications with prospective purchasers of securities, where such communications employ any device, scheme, or artifice to defraud, or contain false statements or omissions of fact calculated to mislead. Stockbrokers and brokerage firms are required to follow the "Know your Customer Rule", which requires they be mindful of each client's investment objectives, their disposable income, their tolerance for risk, the purpose for the invested funds, and to invest only in accordance with said objectives. Hare Wynn is proud to represent clients in an effort to recover monies that have been lost or squandered away due to stockbroker fraud or improper conduct by brokerage firms. We have also represented shareholders in class actions against the corporation for fraud upon the class and other improper corporate conduct. Contact us for experienced representation if you feel you have been the victim of securities or stockbroker fraud.