Have You Been a Victim of Investment Securities Fraud?

You thought you were getting sound advice from your financial advisor or broker, but you didn’t get what they promised you. Your financial advisor or broker had a fiduciary duty to act in your best interest. It was their job to properly oversee and invest your IRA, brokerage account, and other savings, while keeping your money safe.

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Are You Entitled to Make an Investor Claim?

You have the right to file a claims for stockbroker/financial advisor misconduct via the FINRA arbitration process.

Gerald Clay Honolulu Attorney Hawaii Law Firm

Gerald S. Clay
Senior Counsel

Scott Batterman Hawaii Attorney Honolulu Law Firm

Scott I. Batterman
Partner

Are You Entitled to Make an Investor Claim?

You have the right to file a claims for stockbroker/financial advisor misconduct via the FINRA arbitration process.

Gerald Clay Honolulu Attorney Hawaii Law Firm

Gerald S. Clay
Senior Counsel

Scott Batterman Hawaii Attorney Honolulu Law Firm

Scott I. Batterman
Partner

  • Are you a senior who has been targeted by a fraudulent broker? 
  • Senior Investor Fraud is elder abuse. (Older investors are a popular target of investment fraud because many of them have accumulated savings after a lifetime of hard work. Financial losses can be calamitous for seniors, leaving them unable to pay for medical care of even support themselves.)
  • Have you lost money in the market due to risky stock investments?
  • Were you recommended to invest in alternative investments, REITs, LLCs, oil and gas leases, or HUIs and shareholder agreements without warning?
  • Are you nearing retirement age and suspect broker negligence?
  • Have you experienced churning in your accounts?
  • Do you believe your broker overtraded your accounts?
  • Were you fully apprised of investment risks?
  • Do you believe you were overcharged commissions and fees?

How We Can Help

Clay Chapman Iwamura Pulice & Nervell is devoted to representing investors who have been wronged and victimized by stockbrokers and financial advisors.

NO RECOVERY, NO FEE

We work for you on a contingency fee—we will be paid our work only if money is recovered for you.

To help you recover investment losses caused by the mismanagement of funds by brokers and fund managers, we can:

  • Investigate securities misrepresentations, fraud, and misconduct
  • Help you recover your hard-earned investment losses
  • Hold those responsible for your investment losses

Signs You’re a Victim of Investment Fraud

  • Your record-keeping doesn’t match your broker’s financial statements.
  • Your financial statement fees are different from the original agreed upon fee. 
  • Unauthorized and abrupt trades on your statement.
  • A heavy investment in one specific investment.
  • You’re losing money, but your broker isn’t.
  • Excessive trading from your account.
  • Your broker isn’t returning your emails or phone calls.
  • You spot unidentifiable debits or credits on your statements.
  • A dramatic drop in value of stock in a short period of time.
  • You’re losing money in an “up” market.
  • Your broker doesn’t disclose important information regarding an investment purchase.
  • Your broker begins trading in high risk and speculative investments.
  • You are paying capital gains taxes, despite the fact that your account value is decreasing.
  • Financial results are markedly different from publicly announced expectations.
Insurance Law Practice Hawaii

Signs You’re a Victim of Investment Fraud

  • Your record-keeping doesn’t match your broker’s financial statements.
  • Your financial statement fees are different from the original agreed upon fee. 
  • Unauthorized and abrupt trades on your statement.
  • A heavy investment in one specific investment.
  • You’re losing money, but your broker isn’t.
  • Excessive trading from your account.
  • Your broker isn’t returning your emails or phone calls.
  • You spot unidentifiable debits or credits on your statements.
  • A dramatic drop in value of stock in a short period of time.
  • You’re losing money in an “up” market.
  • Your broker doesn’t disclose important information regarding an investment purchase.
  • Your broker begins trading in high risk and speculative investments.
  • You are paying capital gains taxes, despite the fact that your account value is decreasing.
  • Financial results are markedly different from publicly announced expectations.
Insurance Law Practice Hawaii

What is Your Next Step?

If you believe that your broker or financial advisor acted negligently or fraudulently while handling your investment portfolio, call us for a free consultation.

Our securities fraud attorneys and staff have more than 80 years of combined experience in the securities industry and in securities law.

Name*
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