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When to Report Securities Fraud

August 23, 2021 Blog

Securities fraud is a major concern for investors in the United States. From corporate disclosure violations to unregistered offerings and broker-dealer conflicts of interest, many types of securities fraud lead to substantial investor losses.

If you have information about securities fraud, or if you believe that you may be a victim of securities fraud, you should report it. If you qualify as a whistleblower, you may be eligible to receive a financial award from the U.S. Securities and Exchange Commission (SEC). If you are a victim of securities fraud, reporting the fraud may allow you to recover your investment losses. In any case, reporting the fraud will help ensure that the company, firm or individual is held accountable—and it will help protect other investors who might otherwise be at risk for suffering fraudulent investment losses.

When Can (and Should) You Report Securities Fraud?

As an investor or employee, it isn’t always (or even often) easy to tell if you have information about securities fraud. There are many different types of securities fraud, and each type has its own highly-specific definition under the law.

With that said, if you have concerns about possible securities fraud for any reason, you should speak up. There is a good chance that your concerns are valid; and, if they are, prompt legal action may be warranted. As a result, if you suspect any of the following, you should contact the SEC, another appropriate agency, or a securities fraud lawyer:  

  • Account churning (excessive trading
  • Accounting fraud
  • Breach of fiduciary duty
  • Broker or investment advisor fraud
  • Cryptocurrency or initial coin offering (ICO) fraud
  • Hedge fund fraud
  • Insider trading
  • Junk bond fraud
  • Market manipulation
  • Misleading or incomplete disclosures
  • Overconcentration (failure to diversity)
  • Unregistered securities offering

Contact a Securities Fraud Lawyer at Zamansky LLC

Zamansky LLC is a securities fraud law firm located in the heart of Wall Street. Our lawyers have decades of experience helping defrauded investors nationwide. If you have information or concerns and would like to speak with a securities fraud lawyer, you can call 212-742-1414 or contact us online for a free and confidential consultation.

Client Reviews

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Richard R.

“Throughout my entire case, Jake Zamansky was incredibly responsive and spent time walking me through each step of the process. He is professional and worked with my challenging schedule, even meeting with me nights and on weekends. He knew exactly which turn to take when it came to my case and yet was respectful of any decisions I wanted to make resulting in a positive outcome.”

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“Jake Zamansky and his firm represented me in a FINRA arbitration case to recover investment losses. Jake and his team were very professional and worked very hard preparing for trial and then reaching a substantial settlement of our case. I would highly recommend them.”

William E.

“Jake Zamansky represented me in a FINRA arbitration case which allowed me to recover a substantial portion of investment losses. He is truly an expert in this space and I would highly recommend him to those investors who may have been been a victim of investment fraud.”

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Mike A.
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