Seattle

When investors suspect investment fraud, Seattle securities attorneys help them seek financial recovery through several potential avenues, including FINRA arbitration.

The first step is a structured case evaluation. Seattle investment fraud lawyers evaluate your account documentation for signs of misconduct, identifying violations of securities regulations and gathering evidence you can use to support your case.

Kurta Law helps investors in Seattle, Tacoma, Bellevue, and other cities across Washington state recover damages in cases of investment fraud. You can reach out to Kurta Law for a free structured case evaluation by our experienced Seattle securities lawyers.

Seattle Securities Attorneys Evaluate High-Risk Investment Recommendations

Securities regulations require brokers to recommend investments that align with their clients’ financial needs. This includes taking into account the information in your investor profile, which contains key facts about your finances, such as your:

• Age
• Net worth
• Risk tolerance
• Liquidity needs
• Tax status
• Time horizon

Some brokers may recommend a high-risk investment because they believe it will pay off or want to earn higher commissions. They may also negligently fail to consider whether an investment exceeds your risk tolerance.

A Seattle securities fraud attorney can examine investment documents like prospectuses and other disclosures to determine if a recommendation was too risky for your profile.

What Motivates Investment Fraud and Broker Misconduct

Seattle securities lawyers often find that financial professionals have common motivations for violating industry standards of conduct and taking advantage of their clients.

Your Seattle securities fraud attorney will look for evidence of the following when evaluating your case:

• High commissions and other investment-related compensation
• Undisclosed relationships with investment issuers, underwriters, and other parties
• Business activities your broker participates in outside their firm
• Negligent conduct
• Firm supervisory failures

Identifying a motivation behind your broker’s misconduct can be crucial in supporting your case. In particular, whether your broker had intent to cause harm or violated securities regulations out of negligence can be an important consideration in arbitration.

What Qualifies as Investment Fraud?

Any investment product can potentially be used in a fraudulent scheme. Seattle securities fraud attorneys know how to recognize manipulative sales practices and other violations of securities laws in cases involving a wide range of investment products.

Kurta Law provides resources for investors to learn more about the many types of financial misconduct. Our Seattle securities lawyers can evaluate claims of the following:

• Breach of Contract
• Breach of Fiduciary Duty
• Boiler Rooms
• Cherry-Picking
• Churning or Excessive Trading
• Elder Financial Abuse
• Excessive Commissions
• Failure to Execute
• Failure to Supervise
• Forgery
• Hedge Fund Fraud
• Insider Trading
• Margin Accounts and Margin Calls
• Misrepresentation and Omission
• Mutual Fund Fraud
• Stockbroker Negligence
• Overconcentration (Failure to Diversify)
• Ponzi Schemes
• Pump and Dump Schemes
• Pyramid Schemes
• Selling Away
• Stockbroker Loans
• Theft/Conversion
• Stock Market Manipulation
• Unauthorized Trading
• Unsuitable Investments
• Violation of Blue Sky Laws

When evaluating your claim, your Seattle investment fraud lawyer will look for potential supervisory failures on the part of the brokerage firm. Under FINRA Rules and other regulations, firms must implement systems of supervision designed to detect and respond to signs of fraud.

If your Seattle securities lawyer finds evidence of failure to supervise, you may be able to establish firm liability for your losses in FINRA arbitration.

Filing Fraud Complaints with Washington Regulators

Filing a complaint with state regulators can lead to administrative, civil, or criminal action against your financial professional or firm. In Washington, you can file fraud complaints with several regulators.

The Washington State Department of Financial Institutions (DFI) operates its Securities Division to protect investors against investment scams and other forms of fraud. You can file a complaint with the DFI online here.

You can also file a complaint with the Washington Attorney General’s Office. Their Consumer Protection Division investigates complaints involving deceptive and manipulative business practices. You can file a complaint online here.

If you have an elder financial abuse claim, you can contact the Washington Department of Health and Human Services here. They can address claims of financial exploitation against seniors and other vulnerable adults.

Seattle securities fraud attorneys can help you gather and organize your evidence to send to state regulators. They can also determine which regulators have jurisdiction over your case.

However, investor complaints typically do not result in damages or settlements for individual investors. Instead, a Seattle investment fraud lawyer can discuss your possibilities for pursuing damages.

Why Choose the Seattle Securities Attorneys at Kurta Law

Investment fraud can cause sudden losses of income, liquidity crises, and can compromise your financial plans. At Kurta Law, we believe investors should be able to plan their next steps without adding to their financial uncertainty.

We offer free structured case evaluations so you can determine whether you have a case and your options for recovering damages. Our Seattle investment fraud lawyers work on contingency, meaning that you only pay attorneys’ fees if we win money in your case.

Kurta Law Seattle securities attorneys have years of litigation experience and extensive knowledge of the financial industry. We use our expertise to advocate for your interests in FINRA arbitration, putting you on even ground with the firm.

We also have a history of winning settlements for our clients. When firms make settlement offers, we use your evidence to negotiate for a settlement that best addresses your financial harm.

Seattle And Other Areas We Serve

Our Seattle securities attorneys also work with investors in the following communities:

• Tacoma
• Bellevue
• Redmond
• Kent
• Renton
• Everett
• Auburn
• Lakewood

To see our other locations, visit our (Washington page /washington-investment-fraud-lawyer/).

Talk to a Seattle Investment Fraud Lawyer

If you believe your broker mismanaged your portfolio, Kurta Law can help. Our Seattle securities attorneys conduct in-depth case evaluations to determine the scope of your claim and gather evidence you can use to pursue recovery.

We represent investors with investment fraud claims ranging from unsuitable investment recommendations to pyramid schemes.

Reach out to Kurta Law for a no-cost structured case evaluation and start on the road to financial recovery.