California Investment Fraud Attorney

At The Law Offices of Jonathan W. Evans & Associates, we help investors who have suffered financial losses due to securities fraud and misconduct. If a broker, financial advisor, or firm has engaged in fraudulent activity that caused you harm, you may have the right to seek legal action.

Securities fraud can take many forms, from misleading investment advice to outright deception. Our firm has decades of experience holding brokers and financial institutions accountable for unethical and illegal practices.

Holding Fraudulent Brokers Accountable
We fight for investors who have been misled or deceived. If you need legal assistance, contact us at (818) 760-9880 to discuss your case.

What Is Securities Fraud?

Securities fraud occurs when financial professionals mislead or deceive investors for personal or corporate gain. This can involve false statements, omissions of important facts, or fraudulent schemes that lead to financial losses.

Common perpetrators of securities fraud include:

• Stockbrokers
• Financial advisors
• Investment firms
• Corporate executives
• Hedge fund managers

Understanding the different types of securities fraud can help investors recognize red flags and take action when necessary.

Common Types of Securities Fraud

• Misrepresentation and Omissions
  Financial professionals must provide accurate and complete information about an investment. If they knowingly withhold critical details or make false statements to persuade you to invest, it may constitute fraud.
• Unauthorized Trading
  Brokers must have an investor’s permission before making trades. If your broker executes transactions without your consent, you may have grounds for legal action.
• Churning (Excessive Trading)
  Churning occurs when a broker excessively trades securities in your account to generate high commissions. This practice benefits the broker while causing unnecessary fees and potential losses for the investor.
• Ponzi & Pyramid Schemes
  These schemes involve paying returns to early investors using funds from new investors rather than legitimate profits. Eventually, these fraudulent investment operations collapse, leaving many victims with significant losses.
• Insider Trading
  When individuals trade stocks based on non-public, material information, it is considered insider trading. This practice is illegal and can lead to severe financial and legal consequences.
• Market Manipulation
  Some brokers or firms engage in artificial stock price inflation or deflation, misleading investors into making poor financial decisions. Examples include pump-and-dump schemes and wash trading.
• Failure to Supervise
  Brokerage firms are responsible for ensuring that their brokers comply with industry regulations. If a firm fails to monitor and prevent misconduct, it may be held accountable.

Recognizing Securities Fraud Warning Signs

Investors should stay vigilant for potential fraud indicators, including:

• Unrealistic promises – "Guaranteed" high returns with little or no risk.
• Pressure to act quickly – A broker urges immediate investment without giving time for research.
• Confusing or unclear statements – Difficulty understanding investment terms or risks.
• Unauthorized transactions – Trades appear in your account that you didn’t approve.
• Excessive trading activity – Frequent, high-commission trades that don’t align with your investment goals.

If you notice any of these red flags, consult with a securities fraud attorney immediately.

Legal Recourse for Securities Fraud Victims

If you’ve been a victim of securities fraud, you may be able to recover your losses through:

• FINRA Arbitration – Many investment disputes are resolved through the Financial Industry Regulatory Authority (FINRA) arbitration process.
• SEC Complaints – Reporting fraud to the Securities and Exchange Commission (SEC) can lead to regulatory investigations and penalties for the offender.
• Lawsuits – In some cases, victims can file civil lawsuits to seek damages from fraudulent brokers or firms.

At The Law Offices of Jonathan W. Evans & Associates, we can assess your case and help determine the best course of action to pursue compensation.

Frequently Asked Questions (FAQs)

How do I know if I’ve been a victim of securities fraud?

• If you have suffered unexpected losses, received misleading investment information, or noticed unauthorized transactions, you may have been a victim of fraud. A lawyer can review your case and provide guidance.

What should I do if I suspect my broker is acting dishonestly?

• Gather any account statements, emails, or documents related to your investments. Then, consult with a securities fraud attorney to determine your next steps.

Can I sue my financial advisor for fraud?

• Yes, if your financial advisor engaged in fraud, misrepresentation, or unauthorized trading, you may have grounds to file a claim against them.

How long do I have to file a securities fraud claim?

• The timeframe to file a claim depends on the specifics of your case. Generally, securities fraud claims must be filed within two to six years from when the fraud was discovered.

What damages can I recover in a securities fraud case?

• You may recover financial losses, legal fees, and damages for emotional distress caused by the fraudulent activity.

Can I recover my losses if my broker went out of business?

• Possibly. If the broker’s firm was responsible, you may still recover damages through FINRA arbitration or legal action against the brokerage firm.

Do I need an attorney to file a claim?

• Yes, securities fraud cases are complex, and an experienced attorney can help you navigate the legal process, gather evidence, and maximize your chances of recovering your losses.

Why Choose The Law Offices of Jonathan W. Evans & Associates?

• Decades of Experience – Our firm has been representing investors in fraud cases for years.
• Proven Track Record – We have successfully recovered millions for fraud victims.
• Personalized Attention – Every case is handled with dedication and tailored legal strategies.
• No Upfront Fees – We work on a contingency basis, meaning you don’t pay unless we recover compensation for you.

Get a Free Case Review Today
Our experienced attorneys are ready to assess your case and explore your legal options. Contact us at (818) 760-9880 to schedule a free consultation.