Frequently Asked Questions

Frequently Asked Questions

Answers to Common Securities Fraud Concerns

When you give your money to a broker or investor, that individual is bound by a fiduciary duty, which means that he has an obligation to act for your benefit. As we have seen from the headlines in recent years, a fair amount of corruption has plagued the securities industry and investment world.

If you have concerns about your investments, look through the frequently asked questions and answers provided below and then call an experienced lawyer at The Law Offices of Jonathan W. Evans & Associates. Our firm limits our representation to public customers and since 1975 we have been helping public investors to successfully resolve their arbitration claims and investor disputes.

What are the signs of securities fraud?

There are actually many signs and we will give a few here. Unsolicited investment offers from strangers is probably the first sign. You may have had trusted friends "rave" about high returns in a short period of time. Promises of high returns in short time periods, even when recommended by a trusted friend is a red flag. High-pressure sales pitches are high-risk signs that you should definitely avoid completely. If your broker is unwilling to take the time to properly and adequately inform you about investments, he is not doing his job. There are many other signs. If you are worried, call us.

How do I find someone I can trust to handle my investments?

This is an excellent question, but a challenge to answer. Based on news that some of the largest and most trusted firms have been quite corrupt, it may seem impossible to determine. The best answer is, do your homework. Take your time, ask lots of questions. Look at their Internet presence. Talk to several brokers, hopefully based on referrals from trusted friends or family members. Do not be afraid to ask any question, no matter how simple it may seem. Note how you are responded to. Trust your instincts. Do not trust the hype.

What is the difference between mediation and arbitration?

Both securities mediation and securities arbitration are used as an alternative to litigation when resolving disputes. An unbiased, third party is used in both. The arbitrator will make a final decision after reviewing the case and listening to both parties' arguments. The final decision in arbitration is legally binding. The mediator discusses possible solutions with the parties and encourages them to resolve the conflict on their own.

What Is Your Best Option in California?

To get all of your questions answered, we recommend that you speak with us at your earliest convenience. We provide trusted legal representation and have been doing so for over three decades. You can feel confident that we can provide you with the information you need to determine your best course of action.

Call The Law Offices of Jonathan W. Evans & Associates.

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