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Broker Misconduct / Securities Fraud Lawyers

Securities fraud and broker misconduct can deplete savings and cause significant financial hardship for individuals and families concerned for their financial future. At the law office of Lewis & McAtee, our attorneys represent victims of securities fraud and broker misconduct on a national level. With a degree in accounting, Mr. Lewis has the knowledge and experience needed to uncover malfeasance on the part of financial advisors in reviewing financial records and the activity of brokers. In cases involving complicated financial misreporting schemes, our office partners with forensic accountants and computer experts in exposing churning, insider trading, and manipulation of money markets. Our office is prepared to work with federal investigators as well, protecting and advocating on behalf of our client's interest in any investigation involving depletion of retirement funds, overstatement of assets and revenues, and misreported costs.

For more information on recovering damages due to securities fraud or broker misconduct, contact the law office of Lewis & McAtee today. Our attorneys take immediate action to protect your investments while initiating an investigation into conduct on the part of brokers and financial advisors.

Broker Misconduct and Securities Fraud

The law office of Lewis & McAtee represents individuals with cases involving broker misconduct and securities fraud involving the following:

• Unauthorized trading
• Churning / excessive trading
• Unsuitable investments
• Inadvisable investment concentrations
• Refusal to follow instructions
• Misappropriation of funds
• Breach of fiduciary duty
• Price manipulation of securities

Understanding the Rules and Regulations Protecting Investors

Brokers and brokerage firms are required to adhere to the rules and regulations governing the sale of investments to clients as set forth by the National Association of Securities Dealers (NASD). In general, these rules require brokers to consider the amount of risk an individual investor can reasonably accept, the investment goals of the investor, and the financial situation of the investor. In order to ensure a broker's activities are proper and in accordance with these principles, brokerage firms should provide a level of transparency in order to protect investors. The rules set forth by the NASD require brokerage houses to monitor the activities of brokers to ensure compliance with the law and proper financial conduct.

Holding Brokers Financially Accountable

Once broker misconduct is established, our attorneys work with economists in order to accurately quantify the financial harm against our client. We provide detailed cost-data analyses in order to recover compensation for our client's losses.

To schedule a free consultation to discuss your case, contact the law office of Lewis & McAtee today. Our lawyers will evaluate the history of your investments, the activities of your broker, and explain how we can help you.