What red flags might indicate that an investor has been the victim of investment fraud?

While it is often quite difficult for an investor to determine if he/she has been the victim of investment fraud, an investor may want to speak with a trained securities attorney if they see any of the following red flags in their account:

  • There is unusual trading activity in the account (such as the number of trades or the type of securities purchased);
  • The customer reviews monthly statements and does not recall discussing the securities in the account before the trades were executed;
  • The broker is non-responsive to a customer’s contact attempts to discuss the portfolio, especially if the portfolio is not performing well;
  • The overall market is performing well, but the investor's investments are losing money;
  • The broker fails to disclose the risks and fees (including his/her commission) associated with a recommended investment; and
  • The broker recommends the same securities to his clients regardless of each customer’s unique investor profile.

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