Securities Law in Houston

Common types of securities include stocks, bonds, promissory notes, certificates of interest, and participation in oil, gas, or mining titles or leases, or in payments out of production under such titles or leases. What is or is not a security often requires a complex analysis of all the facts and circumstances of a given situation. An attorney skilled in federal, state, and Houston securities laws can help explain the fine points of securities and securities regulation.

Securities fraud

Securities fraud can be committed by individuals, corporations, and financial advisors.

Securities fraud is a serious crime that has many elements. Brokers can be charged with committing many types of misconduct that include the following:

Misleading clients or advising based on inside information Misrepresenting or concealing information Giving bad investment advice that is not in line with investment goals and risk exposure of a client Over-concentrating a portfolio in one stock when advised not to or failing to diversify Failing to follow trading execution instructions of a client Improper and infrequent reporting, which can lead to fraud and embezzling funds

Violating promises of services in client contract agreements Operating in a manner that does not involve due diligence, due care, honesty, and full disclosure Misleading clients to trade on large margins for their best interest while exposing the client to more risk Failing to register with the SEC Excessive trading or churning when instructed otherwise with the intent to earn larger commission amounts from clients

Besides theft, lying and deceit, broker fraud can include other types of wrongdoing, such as making unauthorized transactions and other acts of greed, incompetence and negligence by stockbrokers, financial planners, and others in the securities industry. Additional types of securities fraud include Ponzi schemes, insider trading, and pump and dump scams.

Brokers owe clients a duty

Brokers have a duty to fairly disclose all the facts of the risk associated with a particular investment. If a broker or brokerage firm misrepresents material facts or omits the disclosure of material facts to an investor and the investor subsequently loses money on that investment, a broker, brokerage firm, or financial advisor may be held liable for the loss.

If you own securities and suffered any fraud or breach of duty in Houston, securities law may be on your side. Securities attorneys at The Spencer Law Firm, PC can also discuss with you your concerns about Houston securities compliance.

Contact The Spencer Law Firm, PC or call us at 1-832-539-4722 to speak to an attorney skilled in securities compliance in Houston today.