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Maryland Securities Fraud Legal Questions

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1 legal question has been posted about securities fraud by real users in Maryland. Ask your question and dive into the knowledge of attorneys who handle your issue regularly. Similar topics to explore also include securities, and initial public offerings. All topics and other states can be accessed in the dropdowns below.
Maryland Securities Fraud Questions & Legal Answers
Do you have any Maryland Securities Fraud questions and need some legal advice or guidance? Ask a Lawyer to get an answer or read through our 1 previously answered Maryland Securities Fraud questions.
Securities Fraud
Maryland

Recent Legal Answers

My investment company said my man who did my investing for me invested my money in an outside investment, do I need a lawyer?

Answered 13 years ago by William A. Healy (Unclaimed Profile)   |   1 Answer
Yes, you should certainly consult with an attorney who specializes in securities law. It appears that your financial advisor may have engaged in "selling away." Selling away occurs when a financial advisor engages in selling investments to others without the knowledge of his employer. On a an annual basis financial advsors have to provide their employers with information pertaining to any outside business interests they want to be engaged in. The employer has to approve the financial advisor's participation in the outside business before he/she can engage in it. Unfortunately, some financial advisors, for a variety of reasons, try to do other investment business without their employer's knowledge and supervision. If you have sustained losses from this type of actvity you may be able to recover them from the employer as well as the financial advisor. The fact that the employer in your case is conducting an investigation suggests that it was unaware of the financial advisor's outside investment activities. I am a securities lawyer practicing in Maryland and would be willing to give you a free consultation about this problem. You can call me at 410-875-5316.... Read More
Yes, you should certainly consult with an attorney who specializes in securities law. It appears that your financial advisor may have engaged in... Read More

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