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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.

Investigating Disputes with Your Broker


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


Most securities fraud investigations begin by some alleged misdeed by a stockbroker, brokerage firm or financial advisor.

Sometimes, investigations are triggered by unauthorized, unsuitable or excessive trading. Other times it may be the result of misleading or inaccurate information that generate high commissions for the brokers and significant losses for the investor.

If you feel you have sustained financial losses related to investment fraud, you may have a strong case for recovery. It is critical that you seek an attorney well-versed in the nuances of complex business disputes and experienced in applying the appropriate securities law.

At Falls & Veach, we can help you determine if your investment losses were the result of normal market forces or broker misconduct. Our top priority is to understand your unique personal circumstances in order to anticipate every possible outcome.

We will use a detailed and forensic approach to calculate the extent of your losses. If after conducting a thorough account analysis we find a connection between inappropriate broker/advisor practices and your losses, we will have the ammunition needed to advise you on the best course of action.

The attorneys at Falls & Veach understand this is not money you can afford to lose. From the very beginning, we will give you an honest assessment of your situation and lay out your alternatives. We may recommend going to trial. Or we may suggest settling out of court. Ultimately it is your decision which legal avenue to take.

A signature part of Attorney Veach’s practice is to “leave no stone unturned”. He will tenaciously defend your rights while aggressively pursuing broker/dealer wrongdoing. If you are faced with such a situation, call today for a confidential consultation at 828-277-6001, today.

Someone who knows how to protect your rights may be the key to an outcome in your favor.


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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