Securities Fraud and Mismanagement

Attorney and Counselor at Law

303-300-5022 / 844-253-5858 Toll Free

Did the actions/inactions of my broker fall below the required standard of care?

We’ll tell you, for FREE.

Broker Theft

John Henry Swon IV

by | Jul 9, 2021 | Uncategorized

If you were an investor with John Henry Swon IV and suspect irregularities in your portfolio please call 303-300-5022.   Consultations are free and confidential. Swon was previously a broker with Royal Alliance and Focus Financial.  In July 2021 the Financial Industry...

Jimmy Booth Investment Fraud

by | Jul 2, 2019 | Uncategorized

If you were with James “Jimmy” Booth, and question whether you are a victim of investment fraud, please call 303-300-5022.  Booth has previously been a broker for LPL, Invest Financial, and Cadaret, Grant & Co.  He did business for these firms under...

Sean Kelly Theft

by | Oct 31, 2018 | Uncategorized

If you were an investor of Sean Kelly, previously of Center Street Securities, Capital Financial Services, and Lion’s Share Financial, please call 303-300-5022.  We are currently investigating his theft of investor funds. Kelly, a Georgia stock broker, is facing...