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Securities Fraud and Commodities Fraud
Over 25 Years’ of Arbitration and Litigation Experience

Conflicts of Interest in Equity Research Analysis

This is the modern day version of David against Goliath, in which investors across the country and globally are finding it harder to protect themselves from brokers, investment funds and others engaged in financial misconduct, in spite of regulatory oversight.  Some of the world’s largest broker-dealers and banks, involved in an industry-wide scandal, agreed in 2003 to pay $1.4 billion to settle claims arising from conflicts of interest in equity research analysis.  The scandal involved their investment banking and brokerage divisions and mega-companies such as WorldCom and Global Crossing. In 2005, J.P. Morgan agreed to pay $2.2 billion to investors for the bank’s role in one of several infamous accounting scandals at Enron. 

Although federal and state regulatory bodies are charged with protecting investor rights, they typically go after major cases of securities fraud instead of protecting or ensuring recovery by individual or institutional investors. The question remains, “How can investors fend for themselves?” Frequently, due diligence by the investor is not enough, especially where the industry hides misconduct in false statements and audits, as some dot.com research analysts and various hedge funds have allegedly done.

Investor Rights Advocates

The New York-based law firm of Eppenstein & Eppenstein has worked continuously on behalf of investors for over two decades. We have advanced the cause of public investors at the highest levels, in the U.S. Supreme Court and before Congressional committees, on the subject of investor rights.  You expect your broker, financial advisor or investment firm will act with your best interests in mind, but unfortunately this is not always the case. At Eppenstein and Eppenstein we have been representing aggrieved investors in arbitration, litigation, and mediation for over 25 years.  Our investment fraud and mismanagement lawyers in New York City have represented clients from all over the world who have experienced investment losses.

Our Firm prides itself on its aggressive prosecution of securities and commodities arbitration cases, achieving the record recovery in 2002 of over $46 million for 13 investors. If you have seen your life savings dwindle due to investment fraud, hedge fund fraud, churning, unsuitable investments or a securities industry broker’s breach of fiduciary duty, then we encourage you to contact us to discuss your case and learn how we can put our expertise and experience to work for you.

We have pursued claims against brokers and other investment professionals who have mishandled our clients’ funds for a wide range of abuses and violations.  We have the ability to assist you over the entire spectrum of financial fraud and misconduct.

If you as an individual, or an institution, have been harmed in the financial markets, including losing retirement money, investments or life savings because of questionable conduct by your broker or other investment industry professionals, then we encourage you to contact our skilled, knowledgeable securities fraud and commodities fraud lawyers, who have decades of experience in representing your legal interests. We have helped many clients in your situation from our New York offices.  Find out how we can help you too.


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48 Wall Street, Suite 1100 New York, New York 10005
Telephone: (212) 679-6000
Fax: (212) 759-3122

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Eppenstein and Eppenstein | Attorneys at Law