Professional Services News / Cold Spring Advisory Group

Cold Spring Advisory Group Educates Investors on Actionable Offenses for Broker Abuse

Via: ReleaseWire

Updated 10:08 AM CDT, Wed, March 15,2017

New York, NY -- (ReleaseWire) -- 03/15/2017 -- It's scary to think that many investors and hard-working individuals become victims of investment mismanagement and stock broker abuse every day. In fact, according to the Financial Industry Regulatory Authority (FINRA), more than 800 brokerage firms were prosecuted for investment fraud and mismanagement in 2015, resulting in over $95.1 million in fines and $96.6 million paid in damages to victims.

Broker abuse and financial mismanagement can involve a long list of deceptive and unethical practices used to influence investors and individuals to make investment decisions that are likely to benefit only the broker and not the investor. These fraudulent acts may involve stocks, bonds, notes or even real estate that ultimately result in serious financial losses and damages for investors.

However, there are a number of legally actionable offenses an investor can pursue and Cold Spring Advisory Group (CSAG) is available to help.

About Cold Spring Advisory Group
Cold Spring Advisory Group is a reputable, professional, and experienced consulting firm that specializes in stock market recovery and investment loss. The Cold Spring Advisory Group team is based in New York, NY but has helped clients all over the country with their cases and claims, some totaling over $200,000 in damages and losses. The team has over 25 years of experience in trading, branch management at prestigious brokerage firms, and in investment management and portfolio management and is dedicated to serving clients and investors who have become victims of financial and investment mismanagement.

Broker Misconduct Legal Actionable Offenses

Through the years, Cold Spring Advisory Group has seen hundreds of reports, claims, and cases involving various types of financial and investment mismanagement, fraud, and broker abuse. Cold Spring Advisory Group is available to help and to educate investors and clients on pursuing legal action with the following types of actionable offenses:

- Breach of Contract. When a broker and investor agree to work together, they enter a contract or an agreement. This agreement stipulates that the investor agrees to allow a broker handle his or her investments and portfolios. A breach of contract is an actionable legal response and offense when a party involved in the contract dishonors the terms of the agreement. Therefore, investors who recognize signs of broker abuse and/ or misconduct regarding investment management have the right to pursue legal action for breach of contract.

- Churning. Churning is when a broker engages in excessive trading resulting in excessive and large commissions, and without the investors' best interests in mind. Churning is against the Securities Exchange Commission (SEC) and may result in significant financial losses for the investor.

- Misrepresentations and Omissions. A misrepresentation occurs when a broker, for example, makes a false statement in regards to an investor's account or portfolio in order to get an investor to make a decision that will likely benefit the broker. An omission is when a broker fails to provide important information to an investor that otherwise would prompt the investor to take action. Both misrepresentations and omissions are causes for legal action.

The Cold Spring Advisory Group has years of experience in representing investors and individuals with their reports and claims, and has helped hundreds of clients pursue legal action against firms and/ or agencies that have committed broker abuse and/ or misconduct through the process of thorough professional case analysis and preparation.


If you have suffered a loss or believe your finances have been mismanaged in any way, then contact the experienced team of experts at Cold Spring Advisory Group today as you may be entitled to legal action and/ or arbitration. You can also learn more about the Cold Spring Advisory Group process here.

Call the team at Cold Spring Advisory Group at 212-566-6060 to schedule a free consultation.

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Media Relations Contact
Louis Ottimo
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