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Welcome to the web site of Herbert E. Pounds, Jr., P.C. This site is designed to provide information about this law firm and the services we offer. We practice in the areas of Investor’s Rights, Securities Fraud, Broker Misconduct, Broker Disputes, Arbitration (NASD and NYSE), Mediation of disputes, Recovery of Public Investor Losses, and Business and Commercial Law.
OBJECTIVE
Even though the securities industry is regulated and wrongdoing can result in fines and suspension, investors must file claims for recovery of their losses. Most account applications signed by the investor require any dispute between the brokerage firm and/or broker to be handled by binding arbitration, usually with the National Association of Securities Dealers (NASD) or the New York Stock Exchange (NYSE).
Our goal is to represent investors who have suffered significant losses with stockbrokers and brokerage firms because of mishandling of the investor accounts. Investors sometimes lose their life savings, retirement funds, and inheritances because of the misconduct of brokers and broker-dealers. Some of the more common claims asserted by investors include unsuitable investments, misrepresentations, fraud, churning, unauthorized transactions, order failure, over concentration, margin abuse, kickbacks, guarantees, and lack of supervision. If we can assist you in the recovery of your investor losses, please feel free to contact us.
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