Scottsdale Investment Fraud Lawyer

If you have concerns about the management of your portfolio, a Scottsdale investment fraud lawyer can provide a structured case evaluation.

Scottsdale FINRA lawyers examine account records for signs of regulatory violations like misleading statements, unsuitable investment recommendations, and unauthorized trades. They also provide representation for investors seeking to recover their losses.

Investors may have several options for recovery. Your stock fraud attorney can discuss whether civil court, mediation, or FINRA arbitration are the best path forward for your claim. 

Kurta Law provides guidance to Maricopa County investors about their investment fraud claims. Investors in Scottsdale and other cities in the Phoenix area can reach out to Kurta Law for a free and confidential structured case evaluation.

Risky Investments for Scottsdale Investors

Recommendations of high-risk investments can violate FINRA Rule 2111, known as the Suitability Rule, as well as the SEC’s Regulation Best Interest. Both regulations cover similar ground, allowing investors to pursue claims regarding product recommendations that are too costly or high-risk for their financial goals.

Scottsdale investment fraud attorneys take on cases involving the suitability of the following products:

Determining the role of market volatility is crucial when evaluating an investment fraud claim because brokerage firms often argue that investor losses can be attributed to market downturns and not broker misconduct.

A structured case evaluation by a Scottsdale investment fraud lawyer can reveal key evidence linking your losses to the unsuitability of recommended investments or strategies.

How Scottsdale Investment Fraud Lawyers Evaluate Claims

When the Scottsdale FINRA lawyers at Kurta Law conduct structured case evaluations, they collect and examine documents that can reveal red flags of financial misconduct. These documents include:

• Trading records, including solicited vs. unsolicited trades
• Monthly account statements
• Signed paperwork, such as account opening documents
• Investment marketing materials
• Prospectuses and risk disclosures
• Investor profile information, such as net worth, risk tolerance, liquidity needs, etc.
• Broker-client communications, like emails and texts
• Supervisory materials, like Written Supervisory Procedures (WSPs)

Scottsdale investment fraud lawyers look for patterns of unusual trading activity, inconsistencies across your broker’s communications, high trading costs compared to your overall account value, and other signs that mismanagement has occurred.

Evidence gathered during a structured case evaluation can be used to support an investment fraud claim in FINRA arbitration.

Scottsdale Investment Fraud Claims

Not all cases of broker misconduct involve complex schemes or large-scale fraud. Seemingly small actions like forging a client’s signature on trade authorizations or omitting facts about an investment’s fees can have devastating effects on an investor’s finances.

Some of the types of misconduct that Scottsdale investment fraud attorneys take on include:

Brokerage firms can also be held liable for their brokers’ misconduct if they failed to enforce their supervisory procedures. These systems of supervision must be designed to ensure compliance with securities regulations.

A Scottsdale investment fraud lawyer can evaluate your case for evidence of failure to supervise and discuss how this affects your claim.

Recovering Damages in Scottsdale Investment Fraud Claims

For most investors, FINRA arbitration is a faster and more cost-effective option for recovering damages in cases of investment fraud. Arbitration results in a legally binding agreement between you and the other party called an arbitration award.

FINRA arbitration differs from civil court in a few major ways:

• Present your case to a panel of arbitrators
• No jury
• Relatively limited discovery
• Restricted appeals

Like in a civil proceeding, you can call on expert witnesses to provide testimony and use exhibits to illustrate your arguments. Making a logical and persuasive argument supported by your documentation is key to winning in arbitration.

Some firms resolve investment fraud claims through settlement. A Scottsdale FINRA lawyer can use your evidence to negotiate for a settlement that best addresses your losses.

Deadlines for Investment Fraud Claims

Investors should seek out a Scottsdale FINRA lawyer as soon as they suspect they may have an investment fraud claim. Under FINRA Rule 12206, investors must file their claim within six years of the start of the alleged misconduct.

Determining the beginning of misconduct can be difficult, so it’s crucial to get a case evaluation right away.

Scottsdale And Other Areas We Serve

The Scottsdale investment fraud attorneys at Kurta Law work with other Maricopa County investors in communities such as:

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

Talk to a Scottsdale Investment Fraud Lawyer

If your investments have severely underperformed, a structured case evaluation by a Scottsdale investment fraud attorney can uncover evidence of misconduct.

At Kurta Law, we strive to make the arbitration process as smooth and stress-free for our clients. We work on a contingency basis and only receive attorneys’ fees if we win money for you.

Contact Kurta Law today for a no-cost structured case evaluation and start your path to financial recovery.