DID YOU LOSE SUBSTANTIAL SUMS AT THE HANDS

OF A DISREPUTABLE BROKER OR FINANCIAL ADIVSOR?

Attorney Mark C. Santi combines his experience in complex commercial litigation with a passion for vigorously representing victims of broker and financial-advisor misconduct nationwide. Mr. Santi prides himself in providing clients with clear, practical, results-driven advice.

What is Securities Fraud?  Securities fraud is a scheme or artifice to defraud another in connection with the sale of securities.  Investment professionals like brokers and financial advisors can commit securities fraud (also known as investment fraud) by dealing with their clients in a manner that violates certain laws, regulations, or industry rules.

Common Securities Fraud Claims:

  • Breach of Fiduciary Duty
  • Unsuitability
  • Failure to Supervise
  • Negligence
  • Unauthorized Trading
  • Selling Away
  • Margin Calls
  • Misrepresentation
  • Breach of Contract
  • Omission of Facts
  • Failure to Disclose

Securities Arbitration:

Whether they realize it or not most investors have agreed to mandatory and binding arbitration in the event of a dispute with their financial advisor or broker.  Most often the forum for these disputes is the arbitration system offered by the Financial Advisory Regulatory Authority (FINRA).

Take Action:

Minnesota securities arbitration attorney Mark C. Santi has recovered hundreds of thousands of dollars for victims of securities fraud.  Do you have a claim?  Contact Mark at: msanti@santicerny.com.