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As a specialized commission, this office conducts inquiries and investigations into matters associated with fraud, suspect documents and money laundering.
State and federal securities laws prohibit brokers from making false statements or omissions of material fact in connection with the sale of securities.
The facts in each securities related claim are different. They involve different individuals, different circumstances, different lawyers, and different Panels, Judges, or Arbitrators.
Learn About Us
As a specialized commission, this office conducts inquiries and investigations into matters associated with fraud, suspect documents and money laundering. We are an independent regulatory commission for investment firms.
We exist to ensure that the corporate finance industry is conducting business fairly and under the guidance and supervision of policies set forth by this country.
Learn MoreConsulting Services
If your broker solicits you to purchase securities away from the brokerage firm,
Read MoreInvestment professionals, including stock brokers, have a duty to refuse
Read MoreState and federal securities laws prohibit brokers from making false statements or
Read MoreClaims and Recoveries Services
The facts in each securities related claim are different. They involve different individuals, different circumstances, different lawyers, and different Panels, Judges, or
Read More
Stockbroker fraud or fraud in connection with the sale of securities is prohibited by federal and state laws. Private causes of action for stockbroker fraud, and investment fraud
Read MoreGet In Touch
10 Times Square, 1441 Broadway 3rd Floor, New York City NY United States 10018
+1 (332) 232-7428
secure@farbur.org