Texas Lawyers Blog


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Wednesday, March 6, 2019

Texas Lost Investment Lawyer Represents Investors Who Have Lost Significant Wealth Due to Financial Professional Fraud, Negligence, or other Malfeasance by Texas Lost Investment Lawyer

Texas Lost Investment Lawyer Represents Investors Who Have Lost Significant Wealth Due to Financial Professional Fraud, Negligence, or other Malfeasance by Texas Lost Investment Lawyer and Texas Investment Loss Lawyer Jason S. Coomer

Recent decisions by the Securities and Exchange Commission (SEC) have imposed over $1.4 billion in penalties on several top investment banks, brokerage firms, and brokers.  There are also numerous stories about investment fraud and people who have lost significant wealth due to the malfeasance of financial professionals.  As such, it is important to protect yourself when investing money as well as to keep track of all the money you have invested.  Further, if you believe that a significant amount of wealth has been taken from you or a loved one, it is important to gather all records regarding the investment including any financial statements, sign up documentation, online records, and any written warnings or warranties that might have been made.  After reviewing this information you feel that your financial professional has not been honest and has caused you to suffer significant investment losses, your best bet to recover your losses from investment fraud or securities fraud losses may be to speak to an experienced lawyer regarding your investment losses.  For more information regarding Texas lost investment lawsuits, please feel free to go to the following web page: Texas Lost Investment Lawyer Information.

SEC Bounty Actions Create Economic Incentives To Encourage All Persons With Knowledge of Illegal Insider Trading to Properly Expose Illegal Insider Trading

In addition to Texas Lost Investment Lawsuits, large financial investment firms who are committing large and systematic investment fraud, may be the target of SEC Bounty Actions.  These Bounty Actions are designed to detect large scale and systematic investment fraud.  By offering large rewards for proper reporting of investment fraud, investors and financial professionals are encouraged to report large scale fraud schemes.  These Bounty Actions require original knowledge securities fraud including executive insider trades, hedge fund insider trades, private equity fund fraud, false misleading information on a company's financial statements, false information on Securities and Exchange Commission (SEC) filings, stock manipulation schemes; or embezzlement by stockbrokers.  For more information on SEC Bounty Actions, please go to the following web page: SEC Bounty Action Lawsuit Information.

Several Forms of Investment Fraud Can Be The Basis for Texas Lost Investment Lawsuits and SEC Bounty Actions

In reviewing any investment, an investor should know that investing in the stock market or any investment can be a risky proposition. Markets and investments can fluctuate and the majority of investment losses result from such fluctuations rather than from stock broker fraud or misconduct. However, investment fraud and malfeasance do happen, and there are several forms of stock broker misconduct including:
  • Churning
  • Excessive Trading
  • Unsuitable Investments
  • Misrepresentation
  • Purchase of Unsuitable Securities
  • Investing in Variable Annuities/Variable Universal Life Policies
  • Risky or negligent Retirement Planning
  • Unauthorized Trading
  • Failure to Advise of Risky Investments
  • Unauthorized Risk Profile Changes

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