Securities Fraud Help in Omaha, Nebraska
Securities and Investment Fraud Litigation
When an investor, whether an individual or a business entity, decides to make an investment, this is done based on a considerable amount of trust in the stockbroker or brokerage firm that recommended the investment. There is no way to predict with complete accuracy what the market will do next, but brokers, brokerage firms and financial advisors are obligated to exercise due diligence when investigating certain securities and recommending them to their customers. They must not only provide complete and accurate information to their customers about investment opportunities but must recommend investments based upon each customer's unique investment objectives, risk tolerance, net worth and other key factors.
DominaLaw Group represents investors across Nebraska who have experienced considerable losses caused by negligence or misconduct on the part of their brokers or advisors. Securities litigation may involve bringing a lawsuit against a firm or an individual broker, analyst or advisor for violations of laws and rules set forth by the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and other State and Federal entities.
Some examples of securities fraud include:
- Unsuitability - recommending investments that are not suitable for a particular investor based on net worth, financial goals, investment objectives and risk tolerance.
- Churning - excessive trading with the intent of generating commissions rather than generating returns for the investor.
- Unauthorized trading - completing trades without the prior consent of the customer.
- Misrepresentations - providing an investor with false information about an investment or strategy.
- Omissions - failing to disclose important information about a security to an investor.
- Failure to supervise - a failure on the part of a brokerage firm to supervise its employees, resulting in fraud or negligence.
Our attorneys also handle litigation for shareholders and investors affected by fraud, misrepresentation, insider trading and other violations by corporate directors and officers.
Derivative Litigation for Shareholders
One of the important parts of our securities fraud counsel is the representation of shareholders in derivative litigation, in instances where the director or directors of the company are engaged in wrongful or illegal conduct. A derivative action is filed by a shareholder on the company's behalf to recover compensation for damages caused by a breach of fiduciary duty or other unlawful or negligent act on the part of company directors or officers, or other shareholders.
Talk to a Securities Litigation Lawyer About Your Options
Securities litigation will present a number of complexities best dealt with by an experienced trial lawyer. At our Omaha, Nebraska law office, our attorneys and support staff have a thorough understanding of State and Federal securities laws and how they affect cases of this kind. We understand investor and shareholder rights and are committed to preserving these to the fullest extent inside the courtroom as we litigate on our clients' behalf. Get the personal attention you need from attorneys who care about the outcome of your case and will fight to achieve the best possible result. Contact a Nebraska securities litigation lawyer today.