Securities and Financial Fraud

The world of securities, bonds, limited partnerships, annuities, hedge funds, mutual funds and other investment instruments is somewhat overwhelming to most investors. Investors consequently often place significant trust in their financial advisors, stockbrokers, stock dealers and other investment professionals. Unfortunately, while most financial advisors are honest and competent, a few are not. These few have caused many people to lose their savings and financial security as a result of advisor theft, fraud and exploitation.

At the law firm of Higgins & Burke, P.C., we have provided legal assistance to the individual and institutional victims of financial and securities fraud for more than 15 years. Our team includes a former stockbroker and a former assistant state’s attorney. Our firm understands securities law, investment firm practices and complex investment transactions, and is skilled at developing legal strategies that recover assets. We have resolved almost all types of securities legal issues for thousands of clients, including:

  • Stockbroker churning, excessive account activity and the sale of unsuitable financial and insurance investments
  • Unauthorized trading
  • Failure to execute
  • Sale of unsuitable or unregistered annuities
  • Failure to supervise
  • Mail fraud, wire fraud, margin account, variable annuity and mutual fund fraud
  • Theft, negligence and conversion
  • Professional malpractice by investment advisors, accountants, attorneys, insurance agents, and other financial and fiduciary professionals; breach of fiduciary duty
  • Subprime mortgage and bond fund issues
  • Auction rate securities
  • Collateralized Mortgage Obligations (CMOs)
  • Municipal Bonds
  • Limited Partnerships

Securities fraud and other violations are often resolved through alternative dispute resolution (ADR) methods, including arbitration and mediation. Our attorney team includes members of professional organizations devoted to representing investors and arbitrators for the Financial Investors Regulatory Authority (FINRA) (formerly the NASD). We are skilled and experienced in resolving securities issues through a range of ADR methods and in state and federal courts.

Contact Us

If you have questions regarding securities fraud or regulatory compliance matters, call us. We offer free initial consultations. We accept evening and weekend appointments and are conveniently located in downtown St. Charles. Free parking is available and plentiful. To contact us, call 630-762-9081.

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