Knowledge library
Securities & Investment Disputes
Private placements, advisors and brokers, syndications, Ponzi schemes and investor claims under the Texas Securities Act and federal law.
24 guides on securities & investment disputes, page 1 of 3Showing 1 to 9
Securities & Investment Disputes
Can I Recover If the Company I Invested In Is Insolvent?
Equity is paid last and securities-fraud claims are subordinated in bankruptcy, so recovery usually comes from control persons, sellers, professionals and insurance.
Securities & Investment Disputes
Can I Sue an Investment Advisor for Fraud?
Yes. An investor can sue an advisor for fraud under Texas common law, the Texas Securities Act and federal law. What matters: what was said, what you lost, when you found out.
Securities & Investment Disputes
Crowdfunding and Digital Asset Investment Disputes
Crowdfunded shares and most investment tokens are securities, so Texas and federal fraud rules apply. The hard part is finding a solvent, reachable defendant.
Securities & Investment Disputes
Deadlines for Securities Claims in Texas and Federal Court
Texas Securities Act claims: three years from discovery, five from the sale. Rule 10b-5: two and five. Texas fraud: four years. Repose periods do not move.
Securities & Investment Disputes
Did My Financial Advisor Breach a Fiduciary Duty?
A registered investment adviser owes a fiduciary duty that cannot be waived; a broker owes a best-interest duty at the moment of each recommendation. A loss alone is not a breach.
Securities & Investment Disputes
Enforcing Investor Rights Under Subscription and Shareholder Agreements
Investor rights are contract rights enforced by damages, specific performance or injunction, backed by Texas's statutory right to inspect records.
Securities & Investment Disputes
Federal Securities Fraud: Rule 10b-5 Basics for Investors and Companies
Rule 10b-5 forbids untrue statements or misleading omissions in connection with buying or selling a security. Private plaintiffs must prove scienter, reliance and loss causation.
Securities & Investment Disputes
FINRA Arbitration vs. Court: Where Investor Claims Go
Claims against a FINRA brokerage firm or its brokers go to FINRA arbitration when the customer asks or the agreement requires. Claims against advisers and issuers go to court.
Securities & Investment Disputes
I Invested in a Private Placement That Went Bad. Do I Have a Claim?
Maybe. A failed private placement is a claim only if the offering was sold by an untrue statement, outside a valid exemption, or the money was not used as promised.