Securities Fraud


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Houston Securities and Investment Fraud Claims

Fortunately, the overwhelming majority of stock brokers and licensed securities dealers have the integrity to take a professional and honest approach to helping their clients invest wisely. Some investment professionals, however, are legitimately accused of broker misconduct because they have undermined their clients' investment goals in order to increase their own commissions, fees, or bonuses. Many brokers resort to illegal practices such as churning, insider trading, promoting unsuitable investments, or even illegal securities transactions.

If you feel you are a victim of fraud by an investment professional, the law offices of Hartley Hampton, P.C., can pursue a claim for compensation.  Lawyer Hartley Hampton represents clients who file fraud or ethics complaints with the National Association of Securities Dealers (NASD) when there is no other legal avenue for recompense. Contact us to schedule a no-cost consultation about your potential claim.

We will thoroughly investigate your securities fraud claim using any of a team of investigators and professional consultants to help us analyze your losses and develop a strong case before the NASD arbitration board.

Hartley Hampton has represented individuals and investment groups in a wide variety of securities fraud complaints, including:

  • Churning
  • Promotion of unsuitable investments
  • Sales of unregistered or non-exempt securities
  • Breach of fiduciary duty
  • Unauthorized trading
  • Unlicensed securities trading

The law offices of Hartley Hampton, P.C., will handle every component of your securities fraud complaint, from detailed investment analysis and filing, to preparing you for the NASD hearing and representation before the board. Contact us to schedule a no-cost consultation with attorney Hartley Hampton.