Investment Loss

CHEN Law, LLC - Investment Loss/SEC Whistleblower LawyerInvestment Loss/SEC Whistleblower Attorney Serving Maryland and Washington, D.C.CHEN Law, LLC Advocates for your SEC Whistleblower and Investment Loss Claim

You should be compensated when you suffer investment losses due to wrongful or negligent conduct. Sure, there are certainly valid reasons why investments may lose money, but you should never lose money due to the negligence, incompetence, or trickery of another.

CHEN Law can handle a wide variety of investment loss cases and asset management fraud and negligence cases, such as:

Stock Broker Misconduct

Stock broker misconduct includes actions, such as, failure to execute trades, misleading promises, misrepresentations, omissions, unsuitability of products, overconcentration (instead of diversification), churning (or excessive trading), failure to supervise, breach of contract, breach of duty, margin account abuse, registration violations, or unauthorized trading.

Investment Scams

You work hard and save money to have enough for retirement. It is unfortunate that some businesses prey upon people when there is a large amount of money available. How does it happen? The business representative/owner suggests the selling or rolling over of a 401(k) or union pension or even monies from a savings or Certificate of Deposit into a much riskier investment vehicle, such as their business. These riskier propositions usually generate high commissions for the representative and/or liquidity for the business. Oftentimes, this leads to the purchase of unsuitable investments that are then overtraded to generate excessive commissions. Many other such investment and retirement scams exist. Contact CHEN Law to see if the facts of your case are actionable.

SEC Whistleblower Bounty

As a Securities and Exchange Commission (“SEC”) whistleblower lawyer I can assist you in deciding whether the SEC may have an interest in hearing about information you have that leads to enforcing a violation of the securities laws. I can explain the complicated SEC whistleblower bounty program to you and help you understand what steps must be taken to have the likelihood of receiving a monetary whistleblower reward from the SEC.

The SEC’s Rules contain many requirements that must be satisfied to be eligible to claim SEC whistleblower status and to claim an SEC whistleblower award. If all of the requirements are satisfied, the SEC may award at least 10% and up to a maximum of 30% of the total amount collected by the SEC to the whistleblower.

The SEC also has specific procedures that you have to follow if you decide to report a fraud or violation and want to be eligible to receive an SEC whistleblower award. As a SEC whistleblower lawyer I can help you draft your tip or complaint and submit it to the SEC properly. If you want to report a fraud to the SEC anonymously, but still be eligible for an SEC whistleblower award, the SEC Rules require you to be represented by a lawyer.

After you submit your written tip or complaint, the SEC may want to speak with you in person to help it decide whether to open an investigation into what you reported. As an SEC whistleblower lawyer I can give you guidance about how to explain the information you independently identified to the SEC. I can also accompany you to a meeting or join you on the telephone call with the SEC.

During an inquiry or investigation, the SEC may have more questions for you while it is conducting its investigation. I can communicate with the SEC’s lawyers for you and assist you in responding to the SEC’s questions accurately.

If all other requirements are satisfied, and the SEC brings a successful case based on original information that you provided to it, and an award becomes available, you must submit a formal written claim explaining why you are entitled to an SEC whistleblower award. Your written claim must be submitted to the SEC within a certain period of time. An SEC whistleblower lawyer can aid you in drafting your written claim for an SEC whistleblower reward and can help you submit it to the SEC properly, before your time period runs out.

These are just some of the things that CHEN Law can do for you.

Next Steps

CHEN Law, LLC offers professional and experienced legal representation with your Investment Loss/Whistleblower Claim. Contact us today at 301-358-3981!