A National Securities Arbitration & Investment Fraud Law Firm


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What You Can Do If You’re the Victim of Elder Financial Fraud – Elder Financial Fraud Attorneys

The Financial Industry Regulatory Authority (FINRA) is the self-regulatory organization of the investment industry. As such, FINRA expects all registered brokers and firms to follow its best practice and ethics guidelines.

Unfortunately, that doesn’t always happen. That’s why FINRA has developed a list of practice violations that can result in fines and penalties. Among these are:

Scott L. Silver
Managing Partner

Scott Silver is the chairman of the American Trial Lawyers Association, Securities and Financial Fraud Group and routinely represents elderly investors and their families. He has extensive experience pursuing claims in arbitrations conducted by the Financial Industry Regulatory Authority (FINRA) and in federal court for violations of various states’ laws against elder abuse.

Scott L. Silver

  • Breach-of-fiduciary-duty

    Breach of Fiduciary Duty

  • Excessive-trading-or-churning

    Excessive Trading or Churning

  • Failure-to-supervise

    Failure to Supervise

  • Unsuitable-investment-advice

    Unsuitable Investment Advice

  • Broker-theft-and-fraud

    Broker Theft and Fraud

  • Trust-and-estate-abuse

    Trust and Estate Abuse

Breach of Fiduciary Duty

Investment losses that are the result of a breach of fiduciary duty can be a cause of action in an arbitration claim for damages. In many instances, the failure to disclose all relevant information concerning an investment recommendation may be the result of a conflict of interest between the financial advisor and his client. Financial advisors are required to avoid any conflicts of interest when providing investment advice for financial elder abuse.

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