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Stockbroker Fraud & Misconduct
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- Lawyer Gets 50 Years for Investment Ponzi Scheme Fraud
Posted on 1/3/2012
Stock Market, Investment Fraud & Broker/Financial Advisor Misconduct
Visit www.theinvestmentattorney.com for more information about investment claims
The Law Offices of Thomas Waitt Pleasant, PLLC handles securities and investment arbitrations in all states, including North Carolina. Your investment advisor, financial planner, investment broker or stock broker may have engaged in improper conduct with respect to your investments, including:
- Overconcentration of certain types of investments in your portfolio
- Recommending unsuitable investments based on your risk tolerance or investment goals
- Trading on your account without authorization
- Fraud or misrepresentation
- Failure to act in the investor's best interest
- Failure to disclose conflicts of interest
In some cases, the products being sold or recommended to investors are simply bad investment products. If you have suffered losses related to any of the following financial or investment products, contact The Law Offices of Thomas Waitt Pleasant:
- Variable Annuities
- High Yield Bond Funds
- Exchange Traded Funds (ETF)
- Mortgage Backed Securities
- UBS/Lehman Brothers Prinipal Protected Notes
- Citigroup/Smith Barney Asta Mat Five Funds
- Preferred Stock
- Derrivatives
- Auction Rate Securities (ARS)
- Limited Partnerships
- Private Placements
- Mutual Funds
For more information on how we can help you if you have been a victim of investment/securities fraud - please visit our website: TheInvestmentAttorney.com
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The Law Offices of Thomas Waitt Pleasant, PLLC
1015 Ashes Drive, Suite 204
Wilmington, NC 28405
Phone: 910-509-7106
Fax: 910-202-6481
Toll Free: 888-HELP-156
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