Securities Arbitration

Investment Fraud Counsel

If you are an investor who has fallen victim to investment fraud or other misconduct by your financial advisor or brokerage firm, and have suffered investment losses, contact Faruqi & Faruqi, LLP today for a free and confidential evaluation of your claims.

Faruqi & Faruqi has extensive experience representing investors throughout the securities industry. The attorneys at Faruqi & Faruqi represent investors nationwide in disputes against financial advisors, brokerage firms and other companies to recover losses stemming from, but not limited to:

  • negligence;
  • unsuitable investments;
  • securities fraud;
  • churning;
  • unauthorized trading;
  • breach of fiduciary duty;
  • breach of contract;
  • and other forms of misconduct.

Request a Free and Confidential Legal Consultation Today

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Evaluate Your Securities Fraud Claims

Call us nowCALL US NOW: (877)-476-7797

News & Investigations

FINRA Files Complaint Against Financial Advisor Dawn J. Bennett

Posted on November 29, 2016

On November 9, 2016, the Financial Industry Regulatory Authority (“FINRA”) filed a Complaint against Washington D.C. financial advisor Dawn J. Bennett (CRD #1567051) (“Bennett”) for failing to provide documentation and testimony in connection with FINRA’s investigation, alleging that Bennett engaged in fraud and committed...

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Minnesota Securities Broker Joel S. Bovee Sanctioned by FINRA

Posted on November 3, 2016

On January 26, 2016, the Financial Industry Regulatory Authority (“FINRA”) sanctioned Minnesota securities broker Joel S. Bovee (CRD #1782536) (“Bovee”) by imposing a $5,000 fine and suspending Bovee for two (2) months from associating with any FINRA member firm.  According to the Letter of Acceptance, Waiver and Consent...

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