Did your broker or Merrill Lynch, RBC, Morgan Stanley, UBS, Raymond James, Wells Fargo, recommend Bonds, Stocks or Master Limited Partnerships (MLPs) in ...Read more
Bond Funds Are Asset Managers Vulnerable to Fire Sales? That’s the probing question of a study undertaken by two economists and an assistant vice ...Read more
Ft. Lauderdale, Fl. April 14, 2016 – Attorney Mark A. Tepper, who represents victims of stockbroker fraud, welcomes new Federal regulations aimed at ...Read more
Investors whose brokers recommended investments in non-traded REITs for “high income and safety” but instead lost money, may have a claim for recoveryRead more
FINRA recently sanctioned Oppenheimer & Co. $2.9 Million for unsuitable sales of Non-Traditional ETFs and related supervisory failures.Read more
A Florida State University Alumnus who lost graduation and birthday savings he had invested with Calton & Associates, has recovered all his losses after ...Read more
A member of the Florida, New York and California Bars, Mr. Tepper has achieved the AV Preeminent® Rating, the highest rating of lawyers by their peers in the Martindale-Hubbell Law Directory. This is the 15th consecutive year that Mr. Tepper has received this prestigious award.
As the former Assistant Attorney General and Chief Trial Counsel at the Bureau of Investor Protection and Securities for the New York Attorney General, Mr. Tepper represents the interests of individual investors for more than 35 years.
FINRA arbitrators have upheld claims filed by Mr. Tepper against many brokerage firms and the Florida securities fraud attorney has represented hundreds of clients, even taking on giants such as Bank of America, Charles Schwab, Merrill Lynch, Morgan Stanley, Raymond James, Smith Barney, UBS and Wells Fargo.
“As an attorney for investors I enjoy the satisfaction of doing the right thing. I meet people whose lives have been dramatically changed because of broker misconduct; and a successful claim and recovery can give them back their lives. That’s my reason for doing what I do.” – Securities Fraud Attorney Mark A. Tepper.
Seniors, who frequently are on fixed incomes and depend heavily on investments, can become targets for aggressive money managers promising higher returns through alternative investments.
“Investors should be very wary of aggressive financial advisors who promise stellar returns on investments, while pushing high-fee financial products where commissions and excessive trading can eventually drain a portfolio,” Mr. Tepper advises.
If a broker does not tell you the full story, gives false information or recommends something that isn’t right for you, then that could be misconduct. As a consumer, be alert for and recognize “red flags,” such as unexpected losses in your account. Ask your broker how he or she is compensated, and what are the costs and risks associated with your broker’s recommendations.
Don’t be afraid to ask questions or to expect answers. If the given explanation doesn’t make sense to you, get another opinion.
If you are seeking investment fraud recovery and believe you are a victim of stockbroker fraud, for a free evaluation of your claim in order to make an informed decision on whether you can sue your broker click on the button below:
Get a Free Case Review
Securities Fraud lawyer Mark A. Tepper at the Mark A. Tepper law firm is devoted exclusively to investment fraud recovery, and the representation of clients who are individual investors in the financial markets and victims of stock or investor fraud. The firm also shares its skills, honed over 38 years in the practice of securities law, to present legal guidance during training and education programs organized by NASAA, FINRA [fka NASD], or State Securities Regulators.
The Government Accountability Office reports that seniors lose several billion dollars a year to financial fraud.
Investment Fraud Recovery
At the Mark A. Tepper Law firm, we are dedicated to investment fraud recovery and protecting the rights of our clients who have been victims of securities or stockbroker fraud. We fight for the recovery of losses they have suffered, often at a time in their lives when the preservation of savings and income is so important. Many of our clients are elderly, in retirement, and relying on recommendations from their brokers that do not place their irreplaceable savings at risk.
Representing Investor Clients: Attorney for investors Mark Tepper talks with The Sun Sentinel.
FINRA disciplinary action has been taken against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA disciplinary action is taken through two separate procedures: a settlement or a formal complaint. With a settlement, a firm or broker can opt to settle with FINRA and sign an Accept, Waiver and Consent form (AWC). A formal complaint is filed with and heard before FINRA’s Office of Hearing Officers. The office assigns to the case a professional hearing officer who is responsible for ensuring the complaint is resolved fairly and expeditiously. The case is heard by a three-person panel made up of the hearing officer and two industry panelists.