Securities fraud can arise in many different forms. It is unlawful for brokers to make unauthorized trades in brokerage accounts where the investor has not given the broker discretion. It is also unlawful for brokers to put investors into unsuitable investments based on a variety of factors, including the net worth of the investor and/or the investor’s income, the risk involved in the investment, and the investor’s stated investment objectives in account documentation. A broker may not also “churn” a brokerage account by entering into excessive trades in order to generate commissions. The firm helps investors who have lost value in their brokerage accounts identify whether they have fallen victim to fraudulent practices, and assists them in pursuing resolution of their claims in the appropriate forum. The overwhelming majority of account documents signed by investors with their brokerage firms require arbitration of investor disputes, and most require that the arbitration be with FINRA Arbitration and Mediation.