Securities Fraud & Arbitration

We represent investors who were injured by fraud, breaches of fiduciary duty, churning, unsuitable investments, and other financial wrongdoing.

Securities fraud is pervasive in the United States, and a result, many investors’ losses occur not because of downturns in the market or poor performance of the companies they invest in, but because of manipulation committed by broker-dealers or investment advisers.

Rosenberger + Kawabata work to protect investors from securities fraud violators, both in civil litigation and securities arbitration through FINRA. Unscrupulous broker-dealers and investment advisers use manipulative or deceptive practices to induce investors to make investment decisions that are unsuitable for their investment goals and circumstances. The most straightforward example of securities fraud is a broker-dealer or investment adviser intentionally providing false information (or omitting material information) in order to persuade an investor to purchase, sell, or hold securities with the goal of benefitting the broker-dealer or investment adviser instead of the investor. Further examples of securities fraud include embezzlement, market manipulation, violations of the Federal Securities Act of 1933 and section 10(b) of the Securities Act of 1934, violations of state blue sky laws, pump-and-dump schemes, and insider trading.

Contact the attorneys at Rosenberger + Kawabata if you believe you have incurred investment losses as the result of securities fraud. Our practice areas include:

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