Securities Mismanagement & Fraud

Securities Mismanagement & Fraud

Investors lose billions of dollars every year to securities fraud. We tirelessly fight for those wronged by the advisors trusted with one’s life savings and irreplaceable assets.

State and federal laws protect investors from negligent, unsuitable, self-serving, fraudulent, or illegal conduct by advisors, financial planners, stockbrokers, trust officers, and other financial professionals. These are the people investors trust most with their hard-earned money, and far too often that trust is breached and violated. Wronged investors have the right to seek damages and restitution for their losses. But the process of recovering your money can be extremely complex, and you need an experienced legal team on your side to protect your interests.

The securities fraud and mismanagement attorneys at Willoughby Humphrey & D’Antoni have decades of experience and are trained to recognize losses due to improper investment advice and mismanagement. We can advise you about the legal rights that could lead to recovery of your hard-earned assets, retirement funds, and trust accounts. Brokers and financial firms vigorously defend securities fraud cases, and we have the stamina and determination to protect your rights and recover your losses.

We handle individual and institutional investor cases involving a variety of issues including:

  • unsuitable investments;
  • churning or excessive trading;
  • unauthorized trading;
  • fraud;
  • misrepresentations;
  • failure to disclose investment risks;
  • breach of fiduciary duty;
  • “selling away” of unapproved investments;
  • over-concentration;
  • improper execution of instructions;
  • breach of contract;
  • negligence;
  • mismanagement;
  • breach of contract;
  • margin and securities lending; and
  • conflicts of interest.

In addition to investors, we represent brokers and financial professionals who have been wronged by their employers. These professionals work hard to build their reputations and books of business. Financial firms can take that away in an instant in pursuit of their own monetary goals, often causing substantial financial, emotional, and reputational harm to the broker. The effects of these actions by financial firms can be devastating. We can bring claims against the firm to recover the broker’s losses and defend against any promissory note collection claims brought by the firm. We can stand by you when your firm will not.

If you have lost money on an investment or in a securities, retirement, or trust account, or if your financial advisory business has been harmed by the firm you were registered with, our securities mismanagement attorneys can pursue full recovery plus interest. We also represent our clients in proceedings to challenge, undo, or confirm arbitration awards. No matter what type of dispute you have, we are committed to being skilled advocates for your case.

Our securities fraud attorneys litigate securities claims both in court and before arbitration panels. Whether in court or arbitration, we have helped investors and brokers recover millions in damages. But there are substantial differences between court and arbitration which you may not have been advised about. Our experience in both court and arbitration also allows us to evaluate which options are available to you and help you determine the best strategy for your case.

See How We Can Help You

Use the form below to contact Willoughby Humphrey & D’Antoni to see how our experience and expertise can help in matters involving securities fraud. Our securities mismanagement attorneys and securities fraud attorneys are based in Columbia, SC and Charleston, SC.