Securities & Stockbroker Fraud


If you are the victim of investment fraud or stockbroker misconduct, the Securities Fraud lawyers at CIPN Iwamura Pulice & Nervell are here to help you. Securities fraud and broker misconduct may take many forms. You may have a claim to recover your losses with the help of a securities fraud attorney if:

* You lost money because your broker advised you to buy speculative or volatile stocks, or risky investments like limited partnerships, REITS, or oil and gas leases.
* You lost money because you were advised to buy a variable annuity with sub-accounts invested in risky stocks.
* You were advised to invest in illiquid REITS or leases and now cannot get your money out, except at a large loss.
* You lost money after you were sold a “financial plan” that advised you to invest in mutual funds of the same company that sold you the plan.
* You were advised to take out a mortgage, or remove money from a pension, IRA or 401(k), and invest it in the stock market or other risky investments.
* You lost money due to margin trading or options trading which was never explained to you.
* You were victimized by excessive trading (churning) by your broker.
* You were victimized by unauthorized trading in your accounts by your broker.

Fighting For Your Investments

Stockbrokers are required to know their clients, and to recommend only investments that are suitable for them. A broker must have reasonable grounds for believing that any recommendation is suitable for their customer. Certified Financial Planners can be held to an even higher standard.

If these financial planners, stockbrokers and financial advisors failed to give proper advice, or failed to give you all the relevant facts about the investments or their fees, they and their companies can be held liable.

Our Experience

If you are the victim of investor fraud or stockbroker misconduct, the securities fraud attorneys at CIPN Iwamura Pulice & Nervell, may be able to help you. They have experience representing individual and institutional investors before Federal and State Courts and specialized arbitral tribunals, including the Financial Industry Regulatory Authority. Scott Batterman is one of only two lawyers in the State of Hawaii to be a member of the Public Investors Arbitration Bar Association, a specialized organization dedicated to representing defrauded investors.

They will analyze your case at no cost, and they accept cases on a contingency fee basis: If we do not collect for you, we do not charge you. Contact us today for more information.


Practice Chairs
Scott Batterman Hawaii Attorney Honolulu Law Firm
Scott I. Batterman
Gerald Clay Honolulu Attorney Hawaii Law Firm
Gerald S. Clay
Senior Counsel