FINRA rules generally prohibit financial advisors registered with a securities firm (broker-dealer) from soliciting investors to buy securities not offered or held by the securities firm. When a broker does so, it is called “selling away.”
The investment and securities fraud attorneys at Moulton & Arney, LLP have extensive experience representing individual investors in securities arbitration and litigation. Cindy Moulton and Lance Arney have successfully represented thousands of clients in securities and investment fraud cases, with combined claims of hundreds of millions of dollars.
If you have suffered an investment loss due to Selling Away, you may be entitled to recover all or part of your investment. To find out more about your potential claims against your broker/financial advisor, investment firm, or securities firm for Selling Away, please contact an experienced investment fraud attorney.