Securities and Investments

Ms. Horne represents individual investors who have experienced investment fraud or the mishandling of investment accounts. Actions against brokers and broker-dealers are filed with securities regulatory agencies such as the Financial Industry Regulatory Authority (FINRA, formerly the NASD), for cases involving broker negligence or securities fraud and in state or federal court as appropriate.

Categories of Securities and Investment Cases

  • Securities fraud
  • Violations of Pennsylvania Consumer Protection Law
  • Misappropriating investor funds
  • Inappropriate investments by insurance brokers
  • Failure to follow directions and to properly and timely effectuate orders
  • Unsuitable and inappropriate securities transactions
  • Failure of the accountant to review and provide appropriate advice

Attorney Horne has handled various claims over the past 30 years concerning negligent brokers and insufficient supervision by investment firms, resulting in inappropriate transactions or unreasonable losses to investment accounts inconsistent with the financial objectives, needs or sophistication of the investor.

Some of the Defendants in Cases We Have Pursued:

  • Advantage Capital
  • PNC Brokerage Corp.
  • Charles Schwab & Co.
  • Merrill Lynch
  • AXA Advisors
  • Morgan Stanley
  • VeraVest Investments, Inc.
  • Allmerica Financial Life Insurance and Annuity Co.
  • Olde Economie Financial Consultants, LTD
  • Fidelity Brokerage Services, LLC
  • New England Securities Corp.
  • Emmett Larkin Co.
  • UBS
  • Prudential Financial

Contact us for a free phone consultation