Investment Fraud

Investment Fraud and Securities Arbitration


The Law Offices of George W. Klein retains a practice in handling Investment Fraud and Securities Arbitration matters. In light of the recent significant drop in the stock market, and in other securities markets, numerous cases of Investment fraud and/or negligence by an Investment Advisor or Broker/Dealer have come to the surface. A record number of Brokerage Customers and Investment Advisors have commenced Securities Arbitration actions against such Investment Advisors and Securities Brokers.

The Law Offices of George W. Klein handles all types of Arbitration claims against such parties and are qualified to represent you in any such matters. Investors who have been wronged have options and have the legal basis to bring a claim in front of the National Association of Securities Dealers (NASD), which is now more commonly known as FINRA. These claims can be brought either against the Stock Brokers or the Investment Professionals on the basis of Securities Fraud or Investment Fraud, or on the basis of Unsuitable Investments, Stock Broker Negligence, Unauthorized Trading, failure to follow customer direction, breach of Fiduciary Duty and Excessive Trading activities on an account. Numerous other bases for commencing such actions are also available.

Unfortunately, many unscrupulous Stock Brokers and Investment Professionals engage in conduct whereby they sell proprietary investment type products based upon inadequate disclosure, false and incorrect representations as to the safety of the investment and operation of the investment product, all of which result in Investment Losses and other difficulties to the investor. Quite often, the advice given by such Stock Broker or Investment Professional, does not serve the interest of the customer’s by either increasing the value of the customer’s account, or income, and instead serves to increase the commissions earned by such Stock Broker or Investment Advisor.

Numerous Stock Broker and Investment Advisor customers who are Senior Citizens are particularly at risk with regard to such unscrupulous professionals. These very same senior citizens have limited time and resources available to recoup any losses on their investment accounts, and are therefore key targets for such deceitful practices. Quite often, senior citizens are the victims of false promises and fraudulent representations regarding advice for purchase of various investment products, including Variable Annuities, Index Annuities, Mutual Funds or other High Risk Stock and Bonds.

Free Consultation:

A consultation with our office will provide such investors with options with regard to what action can be taken in their particular case. In most cases, NASD Securities Arbitration (or FINRA Securities Arbitration) is the path for potential recovery of losses and a qualified securities attorney is required in all such cases. It is also possible that through the involvement of our office as your Securities Attorney, we may be able to reach an negotiated settlement with the Stock Broker or Investment Advisor that would be acceptable to you and thus avoid commencing litigation.

The Law Office of George W. Klein handles all types of securities arbitration cases within the New York City area, including the counties of Queens, Brooklyn, Staten Island, Bronx and New York as well as Nassau, Suffolk and Westchester counties, and the New Jersey metropolitan area. Depending on our evaluation of the case, we may be able to handle cases on contingency fee basis, whereby other than handling the filing fees for the NASD or FINRA arbitration forum, you are not required to make any payments unless we are successful in recovering moneys for you. In certain cases, we may also agree to a mix of an initial retainer fee and a contingency fee arrangement. However, since each case is of course different, each case is valuated on its merits and the particular circumstances involved.

Our offices offer a Free Consultation and you therefore have nothing to lose by meeting with us and having your case reviewed.

with an experienced Securities Arbitration and Investment Fraud Attorney
Call or Email the Law Offices of George W. Klein & Assoc.
We handle Securities Arbitration and Investment Fraud matters in all of the following New York Counties:
* New York * Queens * Brooklyn/Kings * Staten Island * Bronx *
* Nassau * Westchester * Suffolk *
* New Jersey and Connecticut Metropolitan Areas *

Law Offices of George W. Klein & Assoc.
70-09 Austin Street – Suite 204
Forest Hills, New York 11375
(718) 575-3373