Securities & Investment Loss Attorneys in New Mexico and Texas

At the Ruhmann Law Firm, our experienced securities and investment loss lawyers in Texas.

and New Mexico knows that when our residents trust a firm to manage their savings, they expect accurate and professional guidance that is customized for their unique needs.

Unfortunately, not all stockbrokers or investment advisors put their clients’ best interests first.

If you have been injured by broker’s recommendations, misrepresentation, omissions, portfolio mismanagement, breach of fiduciary duty, Ponzi schemes, or another form of fraud we want to help you pursue the stockbroker or investment advisor that took advantage of your trust for your financial recovery.

Investment fraud and broker misconduct can occur in countless ways.

Contact our skilled New Mexico and Texas securities and investment loss attorneys today to schedule a free consultation and learn more about your legal options to hold the broker or investment firm accountable for your losses.

What are the Most Common Types of Securities and Investment Misconduct in Texas and New Mexico?

Portfolio mismanagement can occur in innumerable forms, especially when overseen by an unscrupulous broker or advisor.

The most common types of securities and investment misconduct may include, but are not limited to:

  • Breach of Fiduciary Duty

No matter a broker or advisor’s investment strengths, they must morally and financially adhere to the state and federal licensing legalities or risk committing broker fraud.

A financial advisor violates his or her fiduciary duty to a client if the investment advice or recommendations they make not meet the investor’s specific needs or act against their client’s best interests or wishes.

  • Failure to Supervise Registered Brokers and Financial Advisors

Investment firms are responsible for establishing and maintaining supervised rules for their brokers and financial advisors.

That may include regularly reviewing client portfolios to ensure it meets investment objectives and risk tolerance. When they see potential hazards, they are required to contact their clients to ensure they understand their risks.

If your investments lost money due to a firm’s representative’s fraudulent or negligent behavior and their employer failed to supervise their actions, the firm may also be responsible for your losses.

  • Investment Fraud and Misconduct

Unethical brokers and financial advisors put their own interests above those of their clients, they could be skimming money from their clients’ accounts, misappropriating funds, or developing Ponzi schemes that leave their clients completely broke by the time the fraud is uncovered.

If this has happened to you, our skilled securities and investment loss attorneys in Texas

and New Mexico may be able to help you pursue the liable party for your financial recovery.

  • Unauthorized Trading

Unauthorized trading is one of the most common forms of investment fraud.

Financial advisors or brokers will make transactions through their clients’ investment accounts without their explicit permission.

The practice typically involves something called “churning” where the broker makes an excessive number of transactions to generate substantial commissions for themselves.

  • Broker Misrepresentation or Omissions

Many investors rely on information and recommendations from their financial advisors or brokers before approving securities transactions.

Both state and federal securities laws require complete disclosure of material risks and conflicts of interests that investors may face by making certain transactions.

When brokers or financial advisors misrepresent or omit material information regarding an investment that results in losses, it may be considered a breach of fiduciary duty.

Do You Believe Your Investment Account Has Been Mismanaged or Defrauded?

If you think your investment account has taken losses caused by mismanagement, fraud, or broker or financial advisor misconduct, contact our experienced securities and investment loss lawyers at the Ruhmann Law Firm in Texas at 915-910-5600, New Mexico at 505-388-9500, or online to discuss your case during a free consultation.

We are here to help provide you with the legal representation you need to pursue the broker or investment firm for the financial compensation you deserve.

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