Frequently Asked Questions About Securities Fraud


Since 1990, Timothy J. Dennin, P.C., has provided skilled and aggressive counsel for victims of securities fraud to clients across the United States, as well as those located abroad. We focus on fostering a collaborative atmosphere to understand the facts of your case and answer your questions, including the following commonly asked questions about securities fraud.

What Actions Constitute Securities Fraud?

Securities fraud covers a broad range of activities that involve either deceiving investors or manipulating the market, including:

  • Manipulating the market value of your investments
  • Misrepresentation of facts
  • Ponzi schemes
  • Unauthorized trading, including churning your accounts
  • Misappropriation of funds
  • Dissemination of false account statements

What Are Some Red Flags That I’ve Experienced Fraudulent Activity?

All investors should monitor their investments for the following indications that securities fraud may be occurring:

  • Guaranteed results: All investments carry some form of risk, whether that be interest rate risk, currency risk or market risk. When a broker or adviser guarantees a rate of return with little or no risk, that could signal fraudulent activity.
  • Aggressive sales tactics: Any investment decision requires careful thought, and no trusted financial adviser will push you to act quickly.
  • Lack of information: A registered investment offering should come with a prospectus or offering circular. If these important documents are missing, the underlying investment may be flawed.

It is important to note that just because the value of your holdings decreased, or your adviser or broker is exhibiting some of these signs, it doesn’t automatically mean they have committed fraud. Attorney Timothy J. Dennin leverages his over 25 years of experience to evaluate your claim and determine whether a financial professional violated your rights.

Learn More During A Confidential, No-Cost Meeting

If you believe you are the victim of securities fraud, or you have any additional questions, we invite you to schedule a free consultation with our firm. With offices in New York City and on Long Island in Northport, lawyer Timothy J. Dennin is ready to aggressively represent your interests.

To schedule your free consultation, please call 866-437-9475 or contact us online.