New York Broker Fraud & Securities Arbitration Lawyer

Broker Fraud Advocate / FINRA Attorney Advocate. FINRA Cases and Investment Fraud Cases Only!

Security, Protection and $ Recovery

Anthony M. Abraham, Esq., PC represents clients who have been victimized by the stockbrokers and investment advisors. We have recovered millions for Claimants.

Our securities fraud lawyer represents clients in the United States who have claims against US based Brokerage companies and Investment Advisors. We also represent foreign nationals who have claims in the United States but who may live outside of the United States. Our offices are in Midtown Manhattan.

We have 37 years of experience in claims before the Financial Institutions Regulatory Authority (formerly NASD). We also litigate before the American Arbitration Association and similar third party dispute resolution bodies.

We confront a world in which those who sell stocks, bonds and other financial products do so for their own benefit, commissions and compensation without regard to the security and protection of investors.

We then confront the Brokerages, Banksters and Bad Guys and represent only securities investors who have been wronged.

As an investor, you may need to rely on stockbrokers and other financial advisers to provide honest information and advice.

If you have been defrauded by a stockbroker or investment advisor, or Ponzi scammer, we will represent you. We pursue FINRA arbitration procedures, but also have actively litigated through the American Arbitration Association and in court. Anthony M. Abraham is admitted both in New York State and in Florida, but litigates in all 50 states (with local counsel when required to by state law if the case is not in New York State or Florida).

A Broker or Investment Advisor Must be Held Responsible

We are experienced in all aspects of securities arbitration, representing public customers. Here are a few grounds for legal recovery by an investor:

Suitability claims are the most common. Claims against stockbrokers and advisors take many forms. In most cases, "suitability" is an issue. An absence of "suitability" means that the investment sold to a public customer was not appropriate, as related to what the stockbroker or investment advisor should know is the customer's financial needs, based upon age, health, retirement status and other factors. The stockbroker or advisor is supposed to take these factors into account when selling you an investment. Failure to do so is actionable.

Damages may be recoverable.

Fraud. Any case may be subject to a fraud claim if the broker did not properly inform the brokerage customer concerning the investment. The fraud may take many forms, such as the absence of liquidity of a REIT security. Or simply lying to the customer.

Churning claims are frequent. Churning means that when an investment advisor or broker “controls” an account, then aggressively buys and sells securities to generate commissions, the broker or investment advisor may become liable for the commissions and losses. “Churning” is usually identified by many trades in an account.

Breach of Fiduciary Duty means that the investment advisor or broker failed to deal honestly with you in any way. Whether it is through outright theft of funds, trading without authorization, churning, conflict of interest, or any act of fraud or dishonesty.

Failure of Due Diligence means that the broker did not investigate the investment before selling it to the customer. For example, in one case, bonds were sold to an elderly couple. The broker did not investigate that the company which issued the bonds was in dire financial straits. The customer was not informed of this risks. The bonds defaulted in payment of interest. The broker was held liable for failing to investigate and inform the brokerage customer.

Our securities fraud attorney has prosecuted claims based upon nearly every theory of liability against stockbrokers and investment advisors, including:

  • Unsuitable Investments
  • Churning of Accounts
  • Unauthorized Trading
  • Failure if Due Diligence
  • Negligence
  • Failure to Supervise
  • Abuse of the Elderly and Disabled Person Abuse

Since the beginning of trading in the securities markets, brokers and investment advisors have exploited the small investor. They are pressured to “buy “and “sell” to make their livings and profits for the brokerages. They are interested first in their own welfare; the investors are second in line, if they are in line at all. The common expression on Wall Street is that the brokers “eat what they kill.”

The FINRA Arbitration process is there to even out what goes wrong, when the brokers, investment advisor or salesperson oversteps his or her bounds are acts only for their benefit and not the customers.

At Anthony M. Abraham, Esq., P.C. we militate for even stronger laws, including a fiduciary standard in which it is officially declared that the broker and investment advisor have a duty to place the investor’s interest first only.

Anthony M. Abraham has tried about 20 cases to arbitration award or verdict. Our firm represents investor claims throughout the USA. We try our cases without fear or trepidation, with full confidence and preparation if the broker or investment advisor does not make reasoned offers of settlement.

Anthony M. Abraham is admitted in New York and Florida, and in Federal Court in New York.

Call Us for a Free Consultation

If you are a victim of securities fraud, you should call us and retain a sophisticated attorney to see if your losses can be recovered. Mr. Abraham is experienced as a securities fraud lawyer.

Contact us Toll Free at (877) 430-4877, via our online form, or by emailing us at

Client Reviews
Tony helped me recover money from my broker after all my funds were lost. He intervened with my mortgage lender to. Tony protected me , helped me keep my house and recovered much of my lost funds. Jaimie A.
I never saw such effort, diligence and discipline in my life! Every day you were at it until you succeeded. Recovery of my investment was near total after the broker stole it all! I thank goodness for Tony Abraham! James W.
We remain ever grateful to you for setting our Securities Case. After were turned away by many attorneys, you took our case and succeeded. Anina M.
Broker Fraud Lawyer Blog
Contact Us
  1. 1 Free Consultation
  2. 2 Contingency Fees
  3. 3 Over 37 Years Experience

Fill out the contact form or call us at (877) 430-4877 to schedule your free consultation.