You may file a regulatory complaint against an investment firm in North Carolina if you suspect one of the members of any form of financial misconduct. State and federal regulatory agencies like the North Carolina Secretary of State Securities Division and the Financial Industry Regulatory Authority (FINRA) can look into your allegations.
These regulatory bodies serve as the police for enforcing securities regulations and laws. It is important to note that you can’t get financial recovery through a regulator complaint, but it can lead to an official investigation. To pursue recovery, file a civil action in FINRA arbitration or court.
The legal team at Meyer Wilson has over 75 years of combined experience fighting for investors. Throughout our practice, we have recovered more than $350 million for our clients, and we continue to settle and win cases. A North Carolina investment fraud lawyer will help you hold the at-fault financial advisor accountable. Call now for a free consultation.
Should You File a Regulatory Complaint?
When you have evidence to back up your suspicions of investment fraud, you may submit a complaint to a regulatory agency. However, taking any action without legal support can quickly become overwhelming. A North Carolina securities fraud attorney can guide you through the process of filing a regulatory complaint and also taking civil action to recover your losses.
The signs of investment misconduct are not always clear; financial advisors can go to great lengths to conceal their wrongful activities. Therefore, seek professional advice as soon as you notice any suspicious activity in your investment portfolio. An attorney will review any transactions to determine if your advisor endangered your financial welfare.
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The Most Common Reasons for Filing a Complaint Against a North Carolina Investment Firm
Securities misconduct refers to many different types of activities that can harm an investor’s financial interests. The main difference between fraud and negligence is intent. Fraud involves intentional deception to gain a personal advantage, while negligence involves failing to meet the expected level of care.
Some of the most common reasons to file a regulatory complaint against a securities firm are:
- Failure to supervise
- Unauthorized trading
- Fraudulent misrepresentation
- Churning
- Mismanagement of client funds
- Breach of fiduciary duty
- Violation of North Carolina securities laws
- Unsuitable investment recommendations
- Insider trading
If you spot anything out of the ordinary in your portfolio, time is of the essence. By taking quick action, you can prevent the issue from escalating. Also, early intervention allows your lawyer to gather fresh evidence before it becomes damaged or lost.
What to Do Before Filing a Regulatory Complaint Against an Investment Firm in North Carolina
Learning that your trusted financial advisor committed some kind of misconduct can be a shock. However, how you react to this news will impact your claim. Meyer Wilson can compassionately guide you through the complaint process and protect the value of your case.
Collect Evidence to Support Your Claim
By submitting an evidence-based case, you increase the chances of a successful outcome. This can also speed up the process, and you can get justice sooner. It is not enough to notice negligence or fraud; you must also prove it.
The following types of evidence could help with your complaint:
Types of evidence that can strengthen your complaint against a securities firm include:
- Written correspondence
- Email communications
- Account statements
- Witness testimonies
- Disclosure documents
- Transaction records
- Contracts or agreements
If you choose to work with a lawyer, you won’t have to worry about this step; your attorney can gather all the relevant documents and use the available data to build a convincing case. You need to be honest about what happened and provide all the details you remember.
Work With a North Carolina Securities Fraud Lawyer
Securities laws are complex and always changing. Navigating these without professional legal assistance can be intimidating. A North Carolina securities fraud attorney from our team will give you all the information you need to know to make decisions about your case confidently.
Furthermore, if you hire an experienced attorney, you increase the chances of a successful resolution to your complaint. At our law firm, we have a history of successful case results that show our dedication to serving our clients.
Our lawyers are nationwide leaders in investment fraud cases.
Regulatory Agencies Overseeing Investment Companies in North Carolina
Regulatory complaints are usually filed with federal or state agencies, depending on the jurisdictions involved and the problem in question. It is crucial to provide correct and detailed information along with supporting documents.
In North Carolina, you can file a complaint against a securities company with state and federal regulatory agencies, such as:
- North Carolina Secretary of State Securities Division
- North Carolina Attorney General’s Office
- U.S. Securities and Exchange Commission (SEC)
- FINRA
Correctly identifying the institution where to file your complaint can speed up the process, and you are more likely to receive a quick answer. After becoming familiar with your case, a securities fraud lawyer can determine how to proceed.
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Our North Carolina Investment Fraud Attorneys Will Help You File a Regulatory Complaint
When a securities firm has betrayed your trust, our experienced attorneys can help you seek justice. Meyer Wilson is dedicated to protecting your rights. We can guide you through complicated securities laws and help you hold the liable party accountable.
Our team will investigate what caused the losses in your portfolio and build an evidence-based case on your behalf. We have a history of winning cases for clients across North Carolina who were impacted by securities misconduct or fraud.
We offer customized legal help based on the unique details of your case and personal goals. Contact us today to review your options.
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