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Securities Fraud
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International Investment Fraud
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Securities Fraud Attorneys

Since opening our offices in 1980, the securities fraud attorneys of Eppenstein and Eppenstein have steadily developed a reputation for success in arbitrating and litigating large, complex cases involving investment fraud, including securities and commodities fraud on behalf of public investors. We have been helping individual and corporate clients from California, Florida and New York, throughout the United States and worldwide, in bringing securities arbitration claims at the NASD (National Association of Securities Dealers), the NYSE (New York Stock Exchange), the NFA (National Futures Association), and the AAA (American Arbitration Association).

We have pursued claims on behalf of our clients against stockbrokers, brokerage firms, banks and other investment professionals for a wide range of abuses and violations, including:


Elder Securities Arbitration Brokers Preying on Senior Citizens and the Elderly
Ponzi Schemes - Investors, including high net worth individuals and hedge funds, are taken in by fraudulent operations that promise high returns but are funded by current or subsequent investors, not by real businesses
Annuity Sales Practice Abuses-Risky, Hybrid Insurance Vehicles that are Generally Unsuitable for Seniors
Supervisory Failures, Registration Violations-Contravention of Industry Standards
Internet Securities Fraud - Online Scams for the Unwary Investor
Breach of Contract - Broker's Failure to Perform Customer Contract and Breach of the Industry Standards of Good Faith and Fair Dealing with Investors
Tax Shelter Schemes or Fraud - Questionable or Illegal Tax Avoidance Transactions with Adverse Tax Consequences
Hedge Fund Fraud - Increased Risk from Speculative Investments of Pooled Funds. We Handle Hedge Fund Fraud
Failure to Diversify Portfolio, Over Concentration-Putting Your Nest Egg in One Basket
Fraudulent Misrepresentation Including Intentional Misstatements of the Character, Suitability, Risks, Soundness, etc. of Investments and Failure to Disclose Material Information About the Investment
Securities Fraud Including Intentional Misrepresentations or Omissions, Ponzi Schemes, Theft, etc.
Unsuitable Investments Including, Placing Your Funds in High-risk Stocks or Commodities for Personal Gain and Commissions Without Informing You, or Taking into Account Your Investment Objectives Such as Age, Financial Situation and Family Circumstances
Unauthorized Trading - Buying or Selling Securities without permission, such as prior authorization or written power of attorney
Failing to Follow Buy-Sell Instructions or Investment Strategies Instructions
Churning (Buying and Selling Securities and Commodities for the Purpose of Generating Commissions) and Excessive Trading
Stock Manipulation
Conflicts of Interest
Breach of Fiduciary Duty - where the industry representative has control or de facto control over the transactions in a customer’s account the duty owed, among others are: to manage the account in a manner comporting with the needs and objectives of the customer; to keep informed regarding the changes in the market which affect the customer’s interest and to act responsively to protect those interests; to keep the customer informed as to each completed transaction; and to disclose the practical impact and potential risks of the course of dealing
Negligence - Failure to Exercise the Required Duty of Care in Managing Accounts and Advising the Investor
Failure to Supervise the Broker and the Transactions in the Account by the Brokerage Firm, and Breach of Industry Standards on Proper Supervision
Mutual Fund Abuses
Stock Option Abuses
Margin Borrowing-Excessive or Unsuitable Margin Transactions
Investment Objectives, Risk Profile or Opening Account Documentation Falsification
Failure to Adequately Describe Risk or Failure to Abide by Your Risk Tolerance
Fraudulent Stock Research
Financial “Suicide”

Investment Advisor Fraud Lawyers

If you have been harmed in the financial markets, or if you have lost retirement money, investments, or life savings because of questionable conduct by your investment advisor, stockbroker or other investment or banking industry professionals, contact our securities fraud and commodities fraud lawyers for a consultation. We have helped many clients in your situation from our New York offices. Find out how we can help you too.

A Proven Track Record of Excellence in Procuring Results for The Firm’s Clients

At Eppenstein and Eppenstein, our investment fraud lawyers have achieved favorable results for investors, recovering over 50 million dollars for our clients in arbitration, litigation, mediation or settlement since 1997. Overall we have won or settled the majority of our securities and commodities fraud cases. Contact our Manhattan financial fraud attorneys to discover how to put our winning team on your side.

Click here to view our some of our successful cases


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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