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Yuma Securities Litigation Attorney

Brokers at financial institutions have a legal obligation to ensure that they are acting in good faith when trading or investing in securities, such as stocks or bonds, on behalf of their clients. If a broker fails to protect the investor’s interests, he or she may be able to take legal action to recover compensation.

If you or someone you know has been the victim of securities fraud, we recommend that you retain the services of an experienced attorney. The Yuma securities litigation lawyers at Phillips Law Group are well-versed on the illegal and unethical practices committed by different financial institutions. We have helped recover more than $750 million in compensation of behalf of our clients.

Your initial consultation with our firm is 100 percent free. There is no risk or obligation to take legal action. Should you have a case and decide to move forward, there are no upfront fees involved. You only pay us if we help you recover compensation at the end of the legal process.

Reach us 24/7 over the phone at 1-800-706-3000 or through our online chat.

Do I Have a Case?

Securities litigation cases can be very complex. This is why our legal team needs to review your specific circumstances in order to determine whether or not you have a case.

Our Yuma securities litigation attorneys understand that you may have many questions about the legal process and we look forward to providing clear and honest answers. We have over two decades of experience representing clients who have been wronged by others. To obtain the answers you need, contact us to schedule a free and confidential consultation. We can discuss your rights and the legal options that may be available to you.

Call 1-800-706-3000 now for your free consultation.

Does Hiring a Lawyer Help My Case?

In today’s financial markets, trading or investing in stocks and commodities has become fast-paced, leading to many investors quickly losing out on large amounts of money in such a short time span. 

If this has happened to you, it is in your best interest to seek legal representation as soon as possible. Our lawyers at Philips Law Group consistently handle a variety of securities litigation cases and handle matters before the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority, as well as in state and federal courts throughout the U.S.

Our firm has litigation experience with diverse financial investments, including but not limited to:

  • Mortgage-backed securities
  • Partnerships
  • Structured products
  • Hedge funds

Our lawyers are also trial lawyers handling cases both inside and outside of the courtroom.

Securities Litigation Cases Our Firm Handles

Our licensed Yuma securities litigation attorneys are prepared to take on many different types of securities litigation cases. Some of the most common include:

Insider Trading

This happens when a broker or financial institution uses information that is not public knowledge for personal gain or to benefit from a business transaction. Examples of insider trading include exchanging securities after uncovering confidential information about a company’s financial position.  

Investment Fraud

This could be a scheme or deception about an investment that affects a particular investor or company. These schemes often target specific groups, such as religious groups, and offer guaranteed return or low to no-risk investments that are too good to be true. Examples include Ponzi schemes and pyramid schemes.

Market Manipulation

This happens when a broker or financial institution manipulates the appearance of a security, such as the price or availability of a stock or bond. A broker may use market manipulation to convince an investor to make decisions based on false or misguided information in order to purchase the security and drive up the amount. Once the amount of the security is high enough, the broker will cash out his or her shares for profit.

Broker Negligence

When someone is seeking out investment advice, they expect and deserve to be able to rely on the brokers providing that advice to prioritize their need for a secure financial future over the broker’s own financial interests. If a broker fails to act accordingly on behalf of the investor, a claim may be pursued. 


This happens when a broker excessively buys or trades investments on behalf of the investor so he or she can increase their own commissions. This act is not only illegal and unethical, but it can also make investors lose out on money because of an unsound timing of trades and added broker fees.

Failure to Supervise

Management at a brokerage firm also has a legal obligation to properly supervise their brokers to make sure that they are compliant with state and federal securities laws. A firm that does not adequately train or oversee a broker who commits an act of fraud could be responsible for failure to supervise.

Breach of Fiduciary Duties

Brokers and financial institutions have a fiduciary duty toward their investors. They have a duty to act in good faith, fair dealing and full disclosure. Examples of a breach of fiduciary duties include failing to disclose certain information, misappropriation of funds, misuse of influential position, and neglect of responsibilities.

Contact our legal team at: 1-800-706-3000 to learn about your legal options.

Speak With a Yuma Securities Litigation Lawyer

For over two decades, Phillips Law Group has established a proven track record of obtaining compensation for our clients.

We have in-depth knowledge of securities litigation and what it takes to recover fair compensation for victims of fraud. A Yuma securities litigation attorney from our firm is prepared to handle the legal process on your behalf.

There is absolutely no cost to review your situation in a legal consultation. There are also no upfront fees or costs for our services. We only get paid if we are able to collect compensation for you.

Call 1-800-706-3000 or fill out our Free Case Evaluation form today.

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