Posts Tagged: securities attorney

SEC exec recognizes some brokers don’t even understand all the products they’re selling

Financial conflicts of interest are rampant with both big and small broker-dealers. This results in broker-dealers selling products without adequate due diligence or even reckless or fraudulent due diligence.    This often leads to financial advisors selling products without adequate or accurate information and, at times, selling products they don’t even understand.  An SEC executive seems… Read more »

Victor Bayata

Victor Bayata is an associate with Vernon Litigation.  He focuses his practice in the areas of business and investment litigation, arbitration including FINRA arbitration, employment disputes involving financial advisors and other investment professionals, and other securities related matters. Mr. Bayata currently assists clients in recovering losses caused by all manner of financial fraud and negligence… Read more »

Chris Vernon

CHRISTOPHER T. VERNON, ESQ.e-mail: cvernon@vernonhealy.com For more than 20 years, Christopher Vernon has advocated for the rights of investors throughout the United States—both in and out of the courtroom and arbitration hearing room. He has recovered millions for individual investors and groups of investors with significant losses, including punitive damages, attorney’s fees, and amounts in… Read more »