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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 money with a financial advisor requires one of the highest forms of trust. When you invest with a financial advisor, you expect that they are being honest and are not withholding any important facts from you. You also expect that they will be careful with your money, and not take any risks without your permission. Unfortunately, it is all too common that this trust is violated.

Carlson Law, P.A. represents investors in high stakes disputes against financial advisors, investment advisors, brokerage and wealth management firms. Our clients depend on us to help recover and secure their life savings and financial future. We are committed to obtaining the best possible outcome for every client.

We have represented investors located throughout Florida, around the nation, and throughout Latin America. A large portion of our practice is dedicated to representing professional athletes who were victims of fraud.

Please contact us for a free and confidential case evaluation if you believe that you are a victim of investment fraud. We are typically retained on a contingency fee basis, which means that we are only compensated if we recover money for you.

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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
  • Jordan Rider: $120K ETF Complaint Against LPL Advisor

    Leawood, Kansas financial advisor Jordan Rider (CRD# 5292169) mismanaged a client’s accounts, according to a recent investor complaint. Financial Industry...

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  • Raymond Chow: $489K Complaint Against Wedbush Advisor

    Elk Grove, California financial advisor Raymond Chow (CRD# 2860124) recently received an investor complaint alleging that his conduct resulted in...

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  • 卡尔森律师事务所为摩根士丹利客户汤姆·刘提起索赔。

    更新:卡尔森律师事务所已针对摩根士丹利提交一项与汤姆·刘相关的仲裁申请。 卡尔森律师事务所正在调查位于加利福尼亚州尔湾市的摩根士丹利经纪人汤姆·刘(CRD编号:6834194)。我们已被刘的一位客户聘请代理其索赔,该客户因刘从事高风险期权交易而遭受重大损失,包括卖出特斯拉(Tesla)、谷歌(Alphabet)、Palantir、亚马逊(Amazon)和脸书(Meta)的裸卖权期权。我们计划在未来几天内对摩根士丹利提起索赔。我们希望与其他汤姆·刘的客户交流。 证券行业的多项标准旨在保护投资者免受不当高风险投资和策略的侵害。美国金融业监管局(FINRA)的适当性标准便是其中之一。根据FINRA第2111号规则,证券从业人员和机构在向客户推荐某项证券交易或投资策略前,必须“基于合理的尽职调查,有合理理由相信该交易或策略适合客户的投资状况。”若无合理依据而作出推荐,相关经纪人及公司可能需对由此造成的损失承担责任。 摩根士丹利官网显示,汤姆·刘是“大卫·龙团队”(The David Lung Group)成员之一,该团队还包括财务顾问大卫·龙(David Lung)、萧爱莲(Irena Hsiao)和奥扎尔·阿莱菲(Ozair Alefi)。此外,一份介绍汤姆·刘背景与服务的资料中写道:“作为一名财务顾问,汤姆专注于投资组合管理,为客户制定财富管理策略,帮助他们自信地迈向退休目标。他致力于建立长期合作关系,力求提供卓越的客户服务。他认真倾听客户的目标、价值观、愿景和顾虑,致力于帮助客户实现财务目标。” 根据金融业监管局资料,汤姆·刘拥有七年证券行业经验。目前在加州尔湾工作,自2022年起在摩根士丹利注册为经纪人及投资顾问。他曾于2017年至2022年间在尔湾的富国证券(Wells Fargo Clearing Services)注册。他已通过五项证券行业资格考试:普通证券代表考试(Series 7TO)、证券行业基础考试(SIE)、投资公司产品/可变合约代表考试(Series 6)、统一投资顾问法律考试(Series 65)、统一证券代理人州法考试(Series 63)。他目前持有28个州的执业牌照。(信息截至2025年4月14日) 卡尔森律师事务所代表全美投资者就金融顾问和投资公司引发的损失提起索赔。如果您或您的亲属因投资而遭受损失,请致电 888-976-6111,或填写我们的联系表,我们将为您提供免费且保密的咨询服务。

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  • Marco Oreamuno: Demanda de $140,000 Contra Asesor de Bolton

    Miami, Florida — El asesor financiero Marco Oreamuno (CRD# 4903418) presuntamente realizó transacciones no autorizadas, según una reciente reclamación presentada...

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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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