Securities and stockbroker fraud 

Broker/investment advisor practices which generate actionable losses:

• UNSUITABILITY 
                   Recommending or selling unsuitable investments

• EXCESSIVE TRADING
                           High account turnover ("churning")

• UNAUTHORIZED TRADING 
                        Trading without disclosure or permission

• MISAPPROPRIATION 
                Embezzlement or taking "loans" on the account

• GUARANTEEING INVESTMENTS 
                                      Promising future value