Resolving Securities Disputes & Recovering Investment Losses
Concerned about losses in your retirement account?
If you feel your brokerage account has been mishandled, we may be able to help you recover damages.
OFFICES-BOCA RATON, FL & AUSTIN, TX——NATIONWIDE REPRESENTATION
Robert H. Rex is an experienced securities fraud lawyer and has practiced with Dickenson, Murphy, Rex & Sloan, PA since 1987. With more than 40 years of legal practice and an extensive background in finance, including 5 years as a CPA, he is well qualified to advise you on how to pursue damages resulting from stockbroker fraud or negligence.
Mr. Rex has represented thousands of individuals from across the US and abroad in recovering damages from the major brokerage firms as well as local and regional broker-dealers.
Mr. Rex has a proven track record of success in securities law and has been quoted in the Wall Street Journal and other national, regional and local publications.
After a comprehensive review of your case, if we determine that your broker or brokerage firm acted illegally or irresponsibly, we will vigorously pursue your case in securities arbitration or litigation.
Most cases are handled on a contingent fee basis, meaning you only pay an attorney fee of we are successful.
Call 561-391-1900 or fill out the form on our Contact Us page to schedule a Free Consultation with an experienced securities attorney.
Stockbrokers can cause damage to their clients by:
- Misrepresenting investors
- Misappropriating assets
- Over-concentrating investor portfolios
- Trading excessively (churning)
- Making unsuitable investments
- Performing unauthorized transactions
- Botching transfers
- Selling unregistered securities
- Improper margin liquidations
- Fraudulent research
- Boiler room sales practices
- Falsifying account statements
Stockbrokers are required to make suitable recommendations to their clients, taking into account the age, health and financial sophistication, or lack thereof, of their clients. Stockbrokers and financial advisors must conduct themselves in accordance with the New York Stock Exchange’s (NYSE) Know Your Customer rule, which states that a broker is obliged to gather essential information about each client before making investment recommendations. If a broker recommends a securities transaction that is inconsistent with the client’s financial goals, he or she has violated the NYSE rule and may be held liable for securities fraud.
EX-PAT MAINTAINING A U.S. BROKERAGE ACCOUNT?
In addition to handling cases Nationwide, we have also handled cases against U.S. broker-dealers offices for clients residing in Canada, Kuala Lumpar France, Mexico, Costa Rica, Argentina, Venezuela, Chile, Colombia, the United Kingdom and the Channel Islands.
Please call 561-391-1900 or fill out the form on our Contact Us page.