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Securities Fraud Lawyer in New York
New York City (NYC) has long been considered one of the major financial centers of the world. It is home to Wall Street, the New York Stock Exchange (NYSE), and the Nasdaq Stock Market. It would only make sense then that the investment fraud attorneys charged with keeping financial advisors in check would also call NYC home.Â
At AV¶ÌÊÓƵ we work right on Wall Street. We’re at the center of the action each and every day. When you are looking to hire a securities fraud lawyer, you should consider their location. Are they up-to-date with the latest happenings in the financial district? Jake Zamansky has an in-depth knowledge of the securities market and laws and is widely considered an advocate at the forefront of Wall Street regulatory efforts. Do they have a reputation in the financial sector? We have 30 years of experience in securities litigation. Do they get results for clients sound the county? We have successfully recovered of millions of dollars for hundreds of clients – from coast to coast, not just New Yorkers.
A Leading Securities Law Firm Located in the Heart of Wall Street
With offices at 50 Broadway, we are located in New York City right in the heart of Wall Street. As a result, our attorneys know Wall Street as well as we know the laws that protect our clients. Whether you live downtown, commute into New York City for work, or live out on Long Island or in the Upstate region, we can use our knowledge and experience to protect your legal rights if you are a victim of stockbroker negligence or investment fraud.
How We Can Help You in New York
As an investor, you have clear legal rights. You have the right to receive the information you need to make smart decisions about your investments, and you have the right to trust your broker or investment advisor to provide recommendations with your best interests in mind. If a company, firm or individual has violated your rights in New York, our attorneys can file a claim to recover your investment losses and any additional damages you deserve.
Regardless of where you live in New York, we can help you. We regularly represent clients throughout the state—and even throughout the country—in securities fraud litigation and FINRA arbitration. Every engagement at AV¶ÌÊÓƵ starts with a free and confidential consultation, and we handle nearly all cases in New York on a contingency-fee basis. With contingency-fee representation, you pay nothing out of pocket, and you pay nothing at all unless we win.Â
Laws and Regulations that Protect New York Investors
Several laws and regulations protect investors in New York. This includes laws and regulations that exist at the state and federal levels. When you hire a New York investment fraud lawyer at AV¶ÌÊÓƵ to represent you, your lawyer will assess all potential grounds for recovering your fraudulent investment losses—including grounds existing under:
- New York’s Business Corporation Law – New York’s Business Corporation Law establishes key rights for corporate shareholders. If you are a victim of corporate fraud, hiring a New York securities fraud attorney to file a claim under the Business Corporation Law could be your best option.
- New York’s Consumer Protection Act – New York’s Consumer Protection Act also protects investors. If you lost money because you relied on false or misleading information you received from a company, broker or investment advisor, you could have a claim under this state law as well.
- Securities Act of 1933 and Securities Exchange Act of 1934 – These federal laws prohibit numerous forms of fraud within the securities industry. Although they do not provide investors with a private right of action directly, SEC Rule 10b-5 (17 C.F.R. Section 240.10b-5) allows investors to file lawsuits in federal court to recover their fraudulent investment losses.
- Investment Advisor Act of 1940 and Investment Advisers Act of 1940 – These federal laws prohibit fraud within the investment advisory sector. They apply to brokers, investment advisors and firms, and they provide investors with clear grounds to seek damages for losses resulting from overconcentration, unsuitability, conflicts of interest and other forms of investment fraud.
From SEC regulations to rules promulgated by the Financial Industry Regulatory Authority (FINRA), a variety of other sources of authority protect New York investors as well. With decades of experience helping investors recover their losses, our lawyers can thoroughly assess all of your options, and we can pursue all viable claims on your behalf.
FINRA Arbitration: Recovering Fraudulent Brokerage Investment Losses
For many investors, recovering their fraudulent investment losses involves filing for FINRA arbitration. Registered brokers and brokerage firms are required to resolve investor claims through this process. FINRA has offices on Wall Street, and New York investors can pursue arbitration locally in most cases.
With that said, in many cases, attending an arbitration hearing isn’t necessary. At AV¶ÌÊÓƵ, we have had significant success resolving our clients’ investment fraud claims through settlement negotiations. We rely on our decades of experience to build robust claims for damages, and we leverage our experience in arbitration and litigation to target pre-hearing settlements whenever possible.
Investors who have fraudulent investment losses can pursue a wide range of claims in FINRA arbitration. These include (but are not limited to):
- Unsuitable investment advice
- Overconcentration of investments
- Excessive trading (churning)
- Excessive fees and commissions
- Conflicts of interest
- Failure to supervise
- Misrepresentations and omissions by brokers and advisors
If you have lost money investing with a broker or advisor in New York and you have any reason to suspect that your losses may be fraudulent, we encourage you to contact us promptly. A New York investment fraud lawyer at our firm can determine if you are entitled to recover your losses, and, if so, we can pursue FINRA arbitration on your behalf.
Securities Litigation: When New York Investors Need to Go to Court
Investors who have fraud claims that aren’t eligible for FINRA arbitration can seek damages in state or federal court. Along with handling arbitration claims against brokers and investment advisors, we handle securities litigation against securities issuers and other entities and individuals as well. Some examples of potential grounds to pursue securities litigation in New York include:
- Fraudulent initial public offerings (IPOs)
- Unregistered securities offerings
- Insider trading
- Market manipulation
- Misrepresentations and omissions by securities issuers
- Unsubstantiated financial and commercial claims
- Fraud involving structured products, cryptocurrencies, and other specialized and complex securities
Here, too, while seeking a formal ruling will be necessary in some cases, the substantial majority of successful cases result in confidential settlements. If settling your claim is an option, our lawyers will work to secure a favorable settlement offer on your behalf; and, if a reasonable settlement is on the table, we will help you make an informed decision about whether to accept.
With that said, while we work to secure favorable settlements for our clients whenever possible, each New York securities fraud attorney at AV¶ÌÊÓƵ has extensive trial experience. If going to court is what it takes to protect your legal rights, we will not hesitate to litigate your securities fraud claim at trial.
What to Expect from Your New York Securities Fraud Attorney
Let’s say you have a claim for investment fraud. What can you expect from your New York securities fraud attorney? This is a critically important question, as your choice of legal representation will play a central role in determining the outcome of your case.
Here is what you can expect when you work with an attorney at AV¶ÌÊÓƵ:
Comprehensive Analysis of Your Legal Rights
We will provide a comprehensive analysis of your legal rights. If it appears that you may have a claim, we will explain everything you need to do to protect your legal rights as well.
Personalized Legal Advice Based on Your Best Interests
After analyzing all potential claims, we will provide personalized legal advice based on your best interests. This will allow you to make informed and confident decisions about your next steps.
Contingency-Fee Representation
If you decide to move forward, we will represent you on a contingency-fee basis. This means that our legal fees, if any, will be calculated as a percentage of the damages we help you recover.
Effective Representation at Every Step in the Process
From discovery through settlement negotiations and from pre-hearing matters through arbitration or trial, we will provide effective representation at every step in the process.
Commitment to Maximizing Your Financial Recovery
Most importantly, you can expect a commitment to maximizing your financial recovery. We are relentless advocates for our clients, and we take pride in our long track record of success.
Contact an Investment Fraud Lawyer in New York Today
Are you entitled to recover your investment losses due to securities fraud? Let’s talk about your options. Schedule a free initial consultation with a securities arbitration lawyer in New York at AV¶ÌÊÓƵ. You can reach our firm 24/7, so contact us online today to determine how we can help.Â