Securities Law
Buford & Associates is an Austin, TX law firm committed to helping people who have been victimized by stockbroker misconduct. Our attorneys have successfully represented numerous clients in cases involving investments and securities fraud.
Stockbroker Misconduct
Stockbrokers are regulated by numerous laws and the Securities and Exchange Commission (SEC) regulations that control how they conduct business. In addition, brokerage houses normally have strict regulations which their brokers are expected to follow.
Our attorneys regularly represent clients who have lost money due to stock broker misconduct. Some of the cases our attorneys have recently handled involved:
Brokerage firms routinely require that people opening accounts sign an agreement to arbitrate rather than litigate stockbroker disputes. Our securities arbitration attorneys have successfully provided arbitration representation for numerous clients before several self regulatory organizations (SRO) designed to arbitrate securities disputes including National Association of Securities Dealers (NASD), New York Stock Exchange (NYSE), and American Stock Exchange (ASE).
Stockbroker Misconduct
Stockbrokers are regulated by numerous laws and the Securities and Exchange Commission (SEC) regulations that control how they conduct business. In addition, brokerage houses normally have strict regulations which their brokers are expected to follow.
Our attorneys regularly represent clients who have lost money due to stock broker misconduct. Some of the cases our attorneys have recently handled involved:
- Stockbroker Churning or Excessive Trading
- Breach of Fiduciary Duty
- Failure to Diversify
- Failure to Supervise
- Omission of Facts or Misrepresentation
- Unauthorized Trading
- Unsuitability
Brokerage firms routinely require that people opening accounts sign an agreement to arbitrate rather than litigate stockbroker disputes. Our securities arbitration attorneys have successfully provided arbitration representation for numerous clients before several self regulatory organizations (SRO) designed to arbitrate securities disputes including National Association of Securities Dealers (NASD), New York Stock Exchange (NYSE), and American Stock Exchange (ASE).
