If your broker solicits you to purchase securities away from the brokerage firm, your broker is "selling away," which is a violation of self-regulatory rules and federal securities laws. These transactions are known as "private securities transactions" and are subject to special rules and heightened supervision from the brokerage firms. Typically, these investments are in the form of private placements, or other non-public investments such as oil & gas drilling partnerships or other "private" investment opportunities. Even if the broker simply refers you to another investment, recommends the investment, but disclaims his or her role in the investment, or facilitates the investment in any manner, the broker and his firm may be liable for any losses associated with such investment.
To learn more about selling away, call us at 903-597-2221 or contact us online.
Bryan Forman helped me through the turmoil of an investment advisor taking my family’s money. I was depressed and they gave me hope. They helped me recover some of the money taken from me. Bryan and his assistant Melody Bounds helped me with other concerns in my life and I am grateful. They kept me informed every step of the way and I highly recommend their firm.
Down to earth, personal, professional attention
Bryan and his assistant Melody could not have been more kind, compassionate and attentive. They explained everything that would be happening and were always available. My family is extremely grateful for the way they handled our legal issue. I would highly recommend them for your investment and securities issues.
I hired Bryan to help me with an issue with a financial institution. Bryan and his assistant Melody Bounds were professional and personal while resolving my situation. Bryan's experience and expertise were crucial in the positive outcome. Both he and Melody spent long hours researching and preparing my case. There was excellent communication during the process and they always kept me informed on the current events in my case. They treated me like family and not just a client. I would highly recommend Bryan Forman to represent anyone that needs legal representation regarding possible malpractice regarding investment fraud. Bryan will listen sincerely to your situation and give you his honest opinion on the validity of your case.