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Investment Fraud Attorneys

We represent investors across the country in disputes with their financial advisors, investment advisors, brokerage and wealth management firms.

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High Stakes Securities Fraud

Our clients trust us with their once in a lifetime securities fraud disputes. Often, our clients’ entire life savings and financial future rests on the outcome of the case we handle for them.

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Investor Rights Attorneys

We represent harmed investors across the country who have lost money investing because of the fraud or negligence of their financial or investment advisors.

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Investment Fraud Attorneys

Investing with a financial advisor requires one of the highest levels of trust. Investors reasonably expect that their advisor will be honest, disclose all material information, and handle their money with care—never taking risks without authorization. Unfortunately, that trust is too often abused, leaving investors facing devastating financial losses.

Carlson Law, P.A. represents investors in high-stakes disputes against financial advisors, investment advisers, brokerage firms, and wealth management companies. Our clients turn to us when their life savings and financial futures are at risk. We are committed to holding financial professionals and institutions accountable and to pursuing the best possible recovery for every client we represent.

Our firm has represented investors in claims nationwide, including matters in Arizona, California, Colorado, Delaware, the District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Maryland, Minnesota, Missouri, Nevada, New Hampshire, New Jersey, New York, North Carolina, North Dakota, Oklahoma, Oregon, Pennsylvania, South Carolina, Texas, Utah, Virginia, and Wisconsin. We also represent international investors whose assets were mismanaged or misappropriated in the United States.

A significant portion of our practice is devoted to representing professional athletes and other high-net-worth individuals who were targeted for fraud, unsuitable investments, excessive risk-taking, or self-dealing by trusted advisors.

If you believe you are a victim of investment fraud or misconduct, we invite you to contact us for a free and confidential case evaluation. We are typically retained on a contingency-fee basis, meaning we are paid only if we recover money on your behalf.

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  • Securities Fraud

    Securities Fraud, also known as investment fraud, is broadly defined as any deceptive practice that induces an investor to buy or sell a security on the basis of false or misleading information.

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  • Unsuitable Investments

    FINRA Rule 2111 mandates that financial advisors and brokerage firms only recommend investments or investment strategies that are suitable for the client.

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  • Ponzi Schemes

    A Ponzi scheme takes place when a business or investment operator uses new investor funds to pay fictitious returns to prior investors.

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  • Misrepresentation

    Misrepresentation occurs when false information is provided by the seller of an investment to the customer.

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  • Advisor Negligence

    Financial advisors and investment advisors owe a “duty of care” to their clients. Financial advisor negligence occurs when an advisor breaches this duty by doing (or not doing) something that a reasonably prudent financial advisor would do under similar circumstances.

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  • Failure to Supervise

    Brokerage firms, wealth management firms, and investment advisory firms have a duty to supervise their financial advisors in order to prevent customers from harm.

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  • Selling Away

    Selling away occurs when a financial advisor sells an investment that is not approved by the advisor’s firm.

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  • Lack of Diversification

    The first rule of investing is “do not put all your eggs in one basket.” Despite this universal knowledge, some financial advisors somehow still fail to properly diversify portfolios.

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Latest Blog Posts
  • Gabe Candea: $1mm Complaint Against Beacon Advisor

    A recent investor complaint against Irvine, California financial advisor Gabe Candea (CRD# 5531840) alleges that he recommended unsuitable investments. Financial...

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  • Clayton Taylor & Elizabeth Valenti: Platinum Advisors Face Complaint

    San Antonio, Texas financial advisors Clayton Taylor (CRD# 7290665) and Elizabeth Valenti (CRD# 5346551) recently received an investor complaint alleging...

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  • Alex Maltez: $651K GWG Complaint Against Ex-Newbridge Advisor

    Winter Springs, Florida financial advisor Alex Maltez (CRD# 6506116) recently received an investor complaint alleging that his advice resulted in...

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  • Joseph O’Shea: FINRA Bars Former Spartan Capital Advisor

    Former New York City financial advisor Joseph O’Shea (CRD# 2805483) was recently sanctioned and barred in connection with allegedly excessive...

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  • Private Securities

    Private securities are securities that do not trade on national securities exchanges or in the over-the-counter markets.

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  • Junk Bonds

    Junk bonds, also known as non-investment-grade bonds, high-yield bonds, or speculative-grade bonds, are bonds rated beneath investment grade by credit rating agencies (such as Standard & Poor's, Moody's, and Fitch Ratings).

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  • Oil, Gas, and Energy

    Securities fraud is common in oil, gas, and energy investments. Many of the securities offered are private securities.

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  • GWG L Bonds

    Carlson Law currently represents and has filed cases on behalf of several investors who have lost money investing in GWG Holdings, Inc. L Bonds.

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  • Hedge Funds

    Hedge funds pool together money from clients and invest in a stated strategy. Hedge fund strategies are typically riskier than traditional investment strategies found in mutual funds or exchange-traded funds.

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  • Structured Products

    Structured products or structured notes are complex investment products that are often “structured” to combine the attributes of two or more securities into a single security.

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  • Promissory Notes

    Promissory notes are a type of debt instrument used for a person or company to borrow money. Promissory notes usually involve investors loaning money in exchange for future interest payments.

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  • Leveraged ETFs

    Exchange-Traded Funds (ETFs), are designed to track the price of an underlying index, or commodity (such as the S&P 500 or the price of Oil).

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