Securities Arbitration Issues

Issues in securities arbitration and litigation matters can take on a variety of different faces.  Indeed, many cases are complex and most cases involve the prosecution of several different causes of action. Some issues, such as unauthorized trading, can generally be difficult to prove. Others, however, such as churning, are often largely evident from the account statements themselves. It is critical to have a lawyer who understands the modus operandi and types of deceptive practices used by some financial advisors. As a former stockbroker and financial advisor, Montgomery Griffin is able to succinctly determine whether the following issues should be a part of your case after thoroughly reviewing your account documents and interviewing you:

• Recommendation of unsuitable investments or portfolios
• Misrepresentations and omissions of material facts
• Failure to diversify (over-concentration)
• Breach of fiduciary duty
• Churning (excessive commissions)
• Unauthorized trading
• Failure to supervise
• Conversion
• Misappropriation
• Margin violations
• Elder Abuse