Houston Broker Fraud Charges Attorneys
When investors suffer losses in an investment market, they sometimes blame their stockbrokers. In many cases, the losses they have suffered are merely due to the nature of risk in playing the stock market. This does not, however, stop them from trying to bring charges of broker fraud against their investment advisers.
The Houston broker fraud charge defense lawyers at Schaffer Carter & Associates are highly skilled in combating these charges in the criminal defense system. Our law firm, founded in 1988, works with individuals throughout the United States, developing defense strategies that demonstrate a lack of intent to defraud investors.
We are persistent and aggressive in protecting our clients from a wide range of stockbroker fraud claims, including those related to:
- Misrepresentation and omissions
- Overconcentration or negligence in advising on portfolio diversification
- Failure to supervise or execute trades
- Breach of contract or fiduciary duty
- Margin account abuse
- Registration violations
- Unauthorized or unsuitable trading
- Boiler rooms and brokerage fraud
- Insider trading
- Ponzi schemes and investment scams
- Misappropriation or embezzlement of investment funds
Aggressive Defense Against Charges Of Fraud For Clients Nationwide
If you have been charged with broker fraud, prosecutors will work to prove your actions were negligent or fraudulent. They may cite examples of excessive trading activity in your clients’ investment accounts, demonstrate that investments were not properly diversified to minimize risk, or that you failed to provide your clients with an accurate understanding of risk in an investment.
Our firm is equipped to challenge such accusations and argue that your actions were in accordance with pertinent securities guidelines. By thoroughly investigating all details and aggressively pursuing defense mechanisms through every stage of the criminal defense process, we are often able to achieve favorable outcomes for the people we represent.
Our office is located in Harris County, Texas, but we offer vigorous representation and exceptional client service in state and federal cases throughout the United States. Contact our experienced litigation attorneys online or by telephone at 713-574-9412 (toll free at 866-428-2472) to schedule an appointment.