Broker misconduct and securities fraud can cost investors millions of dollars. Miller Law Group is often asked to investigate an investor’s portfolio to determine whether the investor has a legal claim for misconduct.

To protect yourself, or loved ones, from broker misconduct or fraud it is important to know the Red Flags of Fraud.  Look for the following warning signs:

  • Guarantees: There is no such thing as “sure thing.” All investments carry some risk.
  • Unregistered Products: Be care when purchasing unregistered investment, especially from unregistered sellers. For example, hedge funds, notes, bonds, and stocks.
  • Complex Strategies: If the investment is too complicated to explain or understand, best practice is to not participate.
  • Act Now: Being pressured to invest immediately is inappropriate, and is not how reputable brokers conduct business.

If you believe you have a victim of broker misconduct or fraud, contact Miller Law Group for free consultation, or call 919-348-4361.


NC Financial Advisor- Broker Fraud for Unsuitable Investments