Miami Investment & Fraud Attorneys
305.372.9700
1 SE 3rd Ave # 1200
SunTrust International Center
Miami, Florida 33131

Miami Selling Away Investments Attorney

Selling away occurs when a financial adviser or broker sells an investment to a customer that was not approved by the adviser’s firm. Often times these investments have not gone through proper vetting or due diligence and result in large losses to the customer. These investments also often times pay a large commission to the broker and are highly risky.

Selling away is a violation of FINRA Rule 3040 and in certain circumstances, the broker’s firm can be held liable, especially if the firm knew or should have known about the selling away.

Carlson & Associates, P.A. has experience in handling cases involving selling away. Contact our Miami investment fraud attorneys.

Contact our Miami Investment Fraud Attorneys

Carlson & Associates, P.A. has years of experience helping Miami clients with investment fraud, corporate & partnership disputes, officer liability and coverage & legal and accounting malpractice. Contact us online or call 305-372-9700 for more information or assistance.

Share This Page:
  • Super Lawyers
  • AV Preeminent
  • Million Dollar Advocates Forum
Location

Office
Location

1 SE 3rd Ave #1200
Suntrust International Center
Miami, Florida 33131

Telephone: 305-372-9700
Fax: 305-372-8265

Connect
With Us

  • Facebook
  • Twitter
  • LinkedIn
  • Google

The information on this website is for general information purposes only. Nothing on this site should be taken as legal advice for any individual case or situation. This information is not intended to create, and receipt or viewing does not constitute, an attorney-client relationship.

No content on this site may be reused in any fashion without written permission from www.Carlson-Law.net

MileMark Media - Practice Growth Solutions

© 2015 - 2017 Carlson & Associates, P.A. All rights reserved. This law firm website is managed by MileMark Media.