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Broker Fraud

  • John Lawrence Allen
Broker Fraud & Avoiding Investment Scams How can I keep from getting mixed up in an investment scam?

It can be difficult, especially for an inexperienced investor, to tell if an investment opportunity is legitimate or just a scam. However, there are a few “red flags” that almost always point to potential investment fraud:

Pressure to invest right away. Promises of high returns with little or no risk. Difficulty obtaining anything “in writing.” Ten Self-Defense Tips Don’t be a courtesy victim. Con artists will not hesitate...
  • John Lawrence Allen
Broker Fraud & High Risk Investment Scams Are baby boomers at a high risk of investment scams?

Baby boomers are prime targets for scammers. 

Scam artists recognize that baby boomers have reached the point where they are looking to secure their investments and protect their retirement dollars. As a result, scam artists prey on common investor fears in this age group, in an attempt to defraud them of their money. 

Some of the most common investment scams used to attract baby...

  • John Lawrence Allen
Broker Fraud & Exclusive Investment Opportunities Are exclusive investment opportunities legit?

As a securities fraud, broker fraud and investment scam attorney, there are two things about this scenario that worry me: the use of the word “exclusive” and the lack of official letterhead. Although it’s impossible to say for certain without more details, I can tell you that there have been some cases of unscrupulous investment advisers luring their clients into scams by passing off fake documents or promising “private” opportunities.

  • John Lawrence Allen
Broker Fraud & Salary Fraud Should I know how my broker/financial advisor gets paid?

Unfortunately, securities fraud and investment fraud are often pulled off through charging outrageous fees and commissions that may not be readily apparent to investors unless they are really looking for it. Even when these types of charges are legitimate, it’s still important for investors to understand how their brokers and financial advisors are getting paid. Brokers and advisors could be making money in a number of ways, including...

  • John Lawrence Allen
Broker Fraud & Finding a FINRA Attorney How do I find a FINRA attorney?

It can be difficult to choose the best lawyer for your case. Although it is important to trust your gut, there are some concrete characteristics you should pay special attention to:

Focus. It is important to choose an attorney who understands securities fraud and investor claims and investment misconduct. An attorney who boasts many specialties may not have the time or energy to keep up with the specific...