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  • Broker Misconduct
  • Securities Fraud
  • FINRA Arbitrations
  • Fraud Investigations
  • Class Action Suits


Lifting the fog on your losses when you've been led down the wrong path.

Challenging Broker Misconduct


Risk Free, Contingency-Based Legal Representation. Free Consultation.

Broker Misconduct

Brokers have a duty to make appropriate investment recommendations based on each client’s individual situation.  A broker must fairly and accurately disclose known investment risks. Misrepresentations and omissions most often occur to disguise the magnitude of a risk associated with reward. If a broker misrepresents or fails to disclose facts material to investment decision-making and losses occur, a broker and the brokerage firm can be held liable for an investor's losses.

A stock broker or brokerage firm’s role is to guide a client’s investment decisions and help them get the most out of their financial lives. They are expected to be a professional source for appropriate recommendations based on the investor's goals, immediate needs, and long range plans. In sum, the advisor-investor relationship is designed to be a mutually beneficial partnership built on fair, honest and transparent communication.

Unfortunately, there will always be brokers who fail to meet minimum standards of professional responsibility. Sometimes this means they are too inexperienced to make investments in your best interest. Other times it simply means they abuse their positions at your expense. While not all market losses stem from deceptive practices, some do. When this happens, the cost of broker misconduct is very real and can change lives in an instant.

You have rights as an investor. If you note any suspicious activity, or feel you’ve been wronged, you may be entitled to recover losses as a result of broker misconduct.

The Falls & Veach firm is knowledgeable and respected, with a solid reputation for skillfully handling complex litigation, securities and investment disputes for clients nationwide. As accomplished and trusted professionals, he has a wealth of experience  in these types of legal matters, and are dedicated to aggressive representation on behalf of his clients. When you need an attorney who’s highly skilled with respect to securities litigation in the nation, call us at 828-277-6001 today.


If you experience:

  • Chronic unreturned phone calls.
  • Unauthorized transactions on your account statement.
  • Statements that include charges and earnings you cannot identify.
  • Stock values that drop quickly.
  • Market trends and earnings that are not comparable.
  • Broker recommended investments that decline in value more times than not.
  • Lack of disclosure of pertinent information to your decisions to invest by your broker.

Call us. Often times,
we can help.


Actionable Broker Misconduct

Margin Account Abuse



Over Concentration


Unauthorized Trading

Failure to Execute


Small firm appeal. Large firm privilege.

Success History

Fraudulent Leasing Program

Represented 375 investors in state and federal actions relating to a fraudulent leasing program, collecting over $7 million for the investors.

Class Action

Represented investor class in class action against a major law firm, collecting over $2.5 million.

Ponzi Schemes

Represented 60 individuals in an insurance Ponzi scheme and obtained a $9.5 million jury verdict.

Fraudulent Investment Offerings

Represented 47 individuals against a major Life Insurance company regarding a fraudulent investment offering, collecting over $5 million for the investors.

Premature Termination of Fund

Represented investor class in class action against mutual fund family regarding premature termination of a fund, collecting over $3 million for the investors.

Hundreds Represented

Represented hundreds of individuals in arbitration and court proceedings relating to investments, collecting over $30 million dollars for the investors.

Corporate SEC Investigations

Represented “Inc. 100” corporation in SEC investigation, threatened delisting by the NASDAQ and class action securities litigation.

Officer SEC Investigation

Represented former Chief Operating Officer of major corporation and his family in an investigation by the SEC.

SEC Investigations and International Corporations

Represented Canadian corporation in SEC investigation, threatened delisting by the American Stock Exchange and application to the NASDAQ Stock Market, Inc.

FDIC Representation

Represented the Federal Deposit Insurance Corporation connected with the failure of a savings and loan associations, resulting in multimillion dollar judgments against culpable officers and directors. 

FDIC Investigations

Conducted an extensive investigation of potential securities law violations in connection with the operation by a brokerage firm of a “covered call” options program for the savings and loan association.

Sale Contests

Represented a Fortune 100 company in an action contesting the sale of three $200 million vessels; the action proceeded simultaneously in administrative and judicial forums to a very successful negotiated settlement.

Government Agency Contracts

Litigated numerous cases involving contracts with government agencies, including several cases before the General Services Board of Contract Appeals.

Inventor IP

Represented the inventor of drug compounds that have received national attention in contract negotiations with the inventor’s research hospital and with pharmaceutical companies interested in obtaining licenses for the compounds.

We would love to hear from you.

828-277-6001 •

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