Rasco Klock’s attorneys represent individual and institutional investors with claims for all forms of fraud and mismanagement involving their investments and brokerage accounts. We also represent companies and individuals in regulatory investigations before the U.S. Securities and Exchange Commission and FINRA. Our broad knowledge of the securities markets and the arbitration process gives our Securities Litigations group excellent perspective in pursuing claims for defrauded investors. These claims revolve around failure to adhere to securities industry rules and regulations, including:
- “Know your customer” and suitability rules
- Claims for churning
- Negligence
- Embezzlement
- Stock manipulation
- Intentional nondisclosure
- Conflict of interest
- Unauthorized trading
- Federal statutory violations
- Failure to supervise and negligent supervision
- Fraud
- Breach of fiduciary duty
- Margin violations
- Federal statutory violations
- Failure to supervise and negligent supervision
- Fraudulent sales practices
Representative matters our attorneys have handled include:
- Represented foreign owners in multiple fraud and mismanagement matters involving brokerage account losses of tens of millions of dollars.
- Represented a B.V.I. domiciled investment corporation based in Hong Kong concerning a multi-million dollar private investment fraud.
- Represented numerous clients involving brokerage account losses, resulting in the successful recovery of millions of dollars.
