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
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
