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


From Malfeasance to Fraud

Deceptive Practices: Securities Fraud


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

Misconduct & Fraud

The consequences of securities fraud have enormous implications for investors and their futures.  It happens when brokers manipulate stocks or fail to properly disclose accurate information about a company’s operations, financials and earnings potential, leaving an unwitting investor holding an empty bag.

Any time a broker engages in deceptive, misleading or improper behavior which causes you financial harm, seek immediate legal council to help protect your interests. You have a right to recover some or all of the money lost at the hands of unscrupulous brokers and or brokerage firms. These disputes frequently involve issues such as:

  • mismanagement and misrepresentation
  • churning or excessive transactions
  • unauthorized trading
  • negligence
  • unsuitable investments

Stockbroker abuse cases are extremely complex and can be difficult to prove. The process complicated to manage, requiring a wide range of legal knowledge and experience for success. While it is difficult for many victims of investment fraud to recover their money, working with an experienced attorney who seeks every competitive and strategic advantage possible will increase your chances.

At Falls & Veach we focus on securities and investment fraud law. Our small firm acquires big results for our clients through hard work, strategic skill, careful planning and investigation, and meticulous attention to detail.  Unquestionably, we have the experience and resources necessary to help see fraud claims through to the end. Whether you’ve lost a lot or a little, he understands that your money is important and will treat your case with the seriousness that it deserves.

Are you ready to discuss your situation with an attorney prepared to fight for you? Call 828-277-6001 today. After a free consultation, and if appropriate, an analysis of your situation, Mr. Veach will explain your rights and discuss appropriate legal options for next steps.  If we agree to take your case, we will do so on a contingency fee basis, which means that we do not get paid unless you recover investments losses.


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.

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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