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Strategies & Market Trends : Anthony @ Equity Investigations, Dear Anthony, -- Ignore unavailable to you. Want to Upgrade?

To: Wolff who wrote (78421)	6/23/2002 7:08:59 AM
From: Wolff	Read Replies (1) \| Respond to of 122087

Frequently Asked Questions about stock fraud and recovery Q: Are My Losses Eligible for Recovery? A: You may be eligible for recovery if broker misconduct can be proven. Four of the most common types of misconduct are: Unsuitable recommendations or investments. Your broker is required to recommend investments which are in your best interest. Some Warning Signs You're retired, and your broker invested your money into highly speculative stocks. You asked for a conservative portfolio, and your broker bought high-risk stocks. Your broker invested all or most of your funds in a single stock or industry. Misrepresentations and omissions. A broker must tell the truth -- the whole truth. His statements must have a factual basis. What a broker doesn't say is also important; he must tell you any vital information that would influence your decision. Some Warning Signs Your broker told you a stock was a "sure thing." Your broker told you a stock would hit a certain price at a certain date. Your broker told you the company was about to announce a merger or major deal. Your broker withheld information which, if you had known, would have altered your decision. Excessive trading (churning). Excessive trading is usually an alarm bell that trades were made with the sole or main intent of generating a commission. But even a single transaction can be classified as churning if the trade was executed with the intent to benefit the broker, not the client. Some Warning Signs Your broker made a large number of trades for no apparent reason. The number of transactions on your statement came as a surprise to you. Your broker moved you in and out of similar mutual funds. Your broker pressured you to make quick decisions to buy stocks. Unauthorized investments. Unless you have given written discretionary authority to your broker, he or she must obtain your authorization for all trades. Some Warning Signs You received confirmations of a stock purchase you did not authorize. Your monthly statements reflected transactions you don't recall. The Process back to top -------------------------------------------------------------------------------- Q: What Is The Process? A: You don't need another problem; you want a solution. A simple solution. You'll appreciate our streamlined recovery process which is as follows: You provide us information and documents. We analyze your situation and provide you with an objective evaluation. If your situation meets our criteria, we will provide you with a list of 3-5 attorneys to provide an initial legal evaluation of your complaint. The attorney(s) may contact you directly for more information in order to form a legal opinion. If you decide to proceed, you will then select an attorney who will file your claim and work on your behalf until resolution. Q: What Will It Cost? A: There will be a small processing fee to provide an initial investigation of your situation. This is fully refundable if no attorney accepts and files your complaint. Neither our firm, nor any of the attorneys in our network, collect any additional fees until an award is made, and then fees are based on the amount of your recovery. There can be a few out-of-pocket expenses, including filing fees, which are paid directly to the respective arbitration panel.