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Top 10 most Common Types of Securities Fraud<br />Presented by:<br />
Top 10 most common types of securities fraud<br />The following is a list of the 10 most common types of securities fraud ...
Top 10 Most Common Types of Securities Fraud<br /># 10 - Insider Trading <br />Brokers sometimes recommend trades claiming...
Top 10 Most Common Types of Securities Fraud<br />#9 - The Guaranteed Winner<br />Brokers are generally not permitted to m...
Top 10 Most Common Types of Securities Fraud<br />#8 - Trading Without Permission (Unauthorized Trading)<br />Unless your ...
Top 10 Most Common Types of Securities Fraud<br />#7 – Misrepresentations<br />Brokers often misrepresent the safety or fe...
Top 10 Most Common Types of Securities Fraud<br />#6 – Ineptitude or Negligence<br />Sometimes a financial advisor simply ...
Top 10 Most Common Types of Securities Fraud<br />#5 - Margin problems<br />Brokers often recommend that an investor inves...
Top 10 Most Common Types of Securities Fraud<br />#4 - Excessive Trading (Churning)<br />Any time a broker trades for the ...
Top 10 Most Common Types of Securities Fraud<br />#3 - Over-concentration<br />Any portfolio should be diversified amongst...
Top 10 Most Common Types of Securities Fraud<br />#2 - Failure to Perform Due Diligence<br />Brokerage firms have a fiduci...
Top 10 Most Common Types of Securities Fraud<br />#1 - Unsuitability<br />Not all investments are suitable for every inves...
Contact us<br />The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and ...
Legal disclaimer<br />The information provided in this presentation is not, nor is it intended to be, legal advice.  You s...
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Top 10 Most Common Types of Securities Fraud - Investment Fraud Practices Information

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The White Law Group is a national securities arbitration and investor protection law firm. For more information about our firm or the information in this presentation feel free to visit our website at http://www.whitesecuritieslaw.com or call our Chicago offices at 312-238-9650.
We are proud to present the top 10 types of securities fraud that we see at our firm. This presentation may help investors be aware of and understand various types of securities fraud including Insider trading, guaranteed winners, unauthorized trading, misrepresentation, negligence, churning, over concentration and unsuitability.

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Top 10 Most Common Types of Securities Fraud - Investment Fraud Practices Information

  1. 1. Top 10 most Common Types of Securities Fraud<br />Presented by:<br />
  2. 2. Top 10 most common types of securities fraud<br />The following is a list of the 10 most common types of securities fraud we encounter at The White Law Group.<br />
  3. 3. Top 10 Most Common Types of Securities Fraud<br /># 10 - Insider Trading <br />Brokers sometimes recommend trades claiming that they have insider information.  Insider trading is illegal and an investor should not invest based on their advisor’s “insider information.”<br />
  4. 4. Top 10 Most Common Types of Securities Fraud<br />#9 - The Guaranteed Winner<br />Brokers are generally not permitted to make guarantees regarding the performance of an investment.  If your broker has done so, it is likely against his or her firm’s policy.<br />
  5. 5. Top 10 Most Common Types of Securities Fraud<br />#8 - Trading Without Permission (Unauthorized Trading)<br />Unless your account is setup as a discretionary account (permitting your broker to trade without your prior authorization), a financial advisor is required to call you before every trade.<br />
  6. 6. Top 10 Most Common Types of Securities Fraud<br />#7 – Misrepresentations<br />Brokers often misrepresent the safety or features of a product.  If you were induced to purchase an investment based on misrepresentations, the advisor may be liable for any losses incurred.<br />
  7. 7. Top 10 Most Common Types of Securities Fraud<br />#6 – Ineptitude or Negligence<br />Sometimes a financial advisor simply makes a mistake, resulting in damages for the investor.  Such claims for negligence can be actionable.<br />
  8. 8. Top 10 Most Common Types of Securities Fraud<br />#5 - Margin problems<br />Brokers often recommend that an investor invest on margin (borrowing money with their stock portfolio as collateral).  Such an investment strategy has risk and can be inappropriate for certain investors.<br />
  9. 9. Top 10 Most Common Types of Securities Fraud<br />#4 - Excessive Trading (Churning)<br />Any time a broker trades for the explicit purpose of generating commissions, such trading is inappropriate.  If it becomes pervasive, such trading can legally be considered churning.<br />
  10. 10. Top 10 Most Common Types of Securities Fraud<br />#3 - Over-concentration<br />Any portfolio should be diversified amongst various investments, investment types, and market sectors.  If a broker over-concentrates an investor’s portfolio in any particular investment, such a recommendation is inappropriate.<br />
  11. 11. Top 10 Most Common Types of Securities Fraud<br />#2 - Failure to Perform Due Diligence<br />Brokerage firms have a fiduciary duty to research an investment prior to offering it for sale to its clients.  Unfortunately, brokerage firms sometimes fail to perform the necessary due diligence and market and sell improper investments, like Ponzi schemes. <br />
  12. 12. Top 10 Most Common Types of Securities Fraud<br />#1 - Unsuitability<br />Not all investments are suitable for every investor.   For example, certain high risk investments are inappropriate for retired or conservative investors.<br />
  13. 13. Contact us<br />The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.<br />For more information on The White Law Group, please visit our website at http://www.whitesecuritieslaw.com or for more information call our offices at (312) 238- 9650.<br />
  14. 14. Legal disclaimer<br />The information provided in this presentation is not, nor is it intended to be, legal advice.  You should consult an attorney for individual advice regarding your own situation.<br />

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