You worked hard your whole life and finally got to a place where your money could start working for you. Do not let unscrupulous “advisors” and companies take advantage of you.
The Securities and Exchange Commission (SEC), The Financial Industry Regulatory Authority (FINRA) and the State of New Jersey all have protections in place to ensure that your money is impacted by the ebbs and flows of the market – not the devious decisions of your fiduciary agents. There are inherent risks in investing, accept that. Do not accept being taken advantage of. If you feel like you are the victim of any of the following please give the attorneys at Stratton Stepp Ashtyani a call:
- Unsuitability– Where a broker does not use diligence to learn the essential facts about you and your goals in order to recommend the right product. Does the investment match your risk tolerance?
- Churning– Where a broker makes excessive trades on your account to generate fees.
- Unauthorized Trading – Where a broker buys or sells a security without the prior consent of the customer in a non-discretionary account.
- Misrepresentation – Where a material fact is misstated or omitted in breach of a duty to fairly represent or disclose that fact.
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