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Broker Misconduct
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Do you have a case?

1. Did your stockbroker or financial advisor make false statements about the investment he recommended to you, or did he fail to disclose certain important information?

2. Did your stockbroker or financial advisor invest your monies too aggressively or in highly risky investments?

3. Did your stockbroker or financial advisor invest most or all of your money in one stock or bond, or in one particular economic sector?

4. Did your stockbroker or financial advisor fail to diversify your investment assets?

5. Did your stockbroker or financial advisor excessively trade or “churn” your account generating significant commissions?

6. Did your stockbroker or financial advisor make trades without your authorization and knowledge?

7. Did your stockbroker or financial advisor sell you a promissory note or other private investment without the knowledge of his employer?

8. Did your stockbroker or financial advisor fail to generate income for you in your retirement years?

9. Did your stockbroker or financial advisor sell you a variable annuity that has lost money and tied up your funds?

10. Did your stockbroker or financial advisor use margin and/ or trade options in your account?

If you have answered YES to any of these questions, you may have a case.  Contact us today for a free and confidential consultation. Most cases are taken on a contingency fee basis, meaning if you do not recover there is no attorney’s fee owed. Costs are additional.

 
       
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