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 3 of 3Showing 19 to 24
Securities & Investment Disputes
Startup Investors vs. Founders: Common Disputes and Remedies
Startup fights fall into five groups: misrepresentation in the raise, misuse of funds, information blackouts, dilution and control, and founder self-dealing.
Securities & Investment Disputes
The Company I Lent Money To Defaulted on Its Notes. Investor Remedies
You hold a lender's contract remedies on the note and guaranty and, if the note was sold as an investment, an investor's securities claims against the people who sold it.
Securities & Investment Disputes
The Texas Securities Act: Claims by Investors and Defenses
The Texas Securities Act lets a buyer rescind or recover damages for sales by untrue statements or without registration, with no proof of intent required.
Securities & Investment Disputes
Unsuitable Investments and Churning: Claims Against Brokers
A broker needs a reasonable basis to believe each recommendation, and the trading pattern as a whole, fits the customer. Both claims are proved from the account records.
Securities & Investment Disputes
Was the Investment an Unregistered Security? Rescission in Texas
If the deal was a security sold in Texas without registration or a valid exemption, the buyer may rescind and recover the price with interest, with no misstatement required.
Securities & Investment Disputes
Who Else Is Liable? Control Persons and Aiders Under the Texas Securities Act
Anyone who controlled a seller is jointly liable unless they could not have known the facts; anyone who materially aided a sale with intent or recklessness is liable too.