Have you suffered damages as a result of investment fraud?

Recover your Investment Losses. If you have suffered damages as a result of securities or investment fraud, the recommendation or sale of unsuitable investments, the negligent provision of investment advice, the sale of defective investments, self-dealing, unauthorized trading, theft, the failure to supervise, or other wrongful conduct, you may have a claim against your stockbroker or investment professional and their firm. Victims of securities and investment fraud, and other wrongful conduct, may recover their damages through FINRA securities arbitration.

Investors have a right to the truth. Both novice and highly sophisticated investors have a right to to rely upon the investment advice of their stockbroker or investment professional and to believe that the investment advice rendered by these professionals is not the product of negligence nor is tainted by financial self interest.

The federal securities laws require the full and fair disclosure of all material facts in connection with the sale of securities. Stockbrokers and the brokerage firms with whom they are associated, have a special duty not only conduct meaningful due diligence with respect to the securities sold by them, but to also to only recommend those securities to investors that are financially capable or otherwise suitable to undertake such risks.

However, this is not always the case. Investors are sometimes provided false promises. Sometimes investors make life changing decisions based upon these false promises. The material risks associated with a particular security or a particular investment strategy are sometimes never even partially disclosed. Many stockbrokers and investment professionals do not fully understand many of the complex investment products that they recommend. Instead of being trained about a particular product, and its potential risks, they are only trained or told how to sell a particular product. Often these recommendations are in the best financial interest of the stockbroker and the brokerage firm and are not necessarily in the best interest of the customer or investor.

Brokerage firms have a duty to supervise the activities of their registered representatives, to safeguard customer accounts from most often their own brokers, and to prevent fraud and the sale of unapproved investments to customers. Sometimes brokerage firms fail to supervise the activities of stockbrokers or regisitered representatives, and also fail to provide adequate on-site supervision of their stockbrokers or registered representatives. As a result, sometimes investors fall prey to the sale of unapproved outside investments, promissory notes, off-shore investments, stockbroker theft or misappropriation and classical Ponzi schemes.

Why Hire Us?

Wall Street hires the best lawyers. Choosing the right lawyer and choosing the right law firm is very important. Experience counts. Within the last 30 years, we have successfully represented more than 1,000 clients, including institutions, pension funds, trusts, and individuals from all walks of life, from celebrities to early retirees, from cosmologists to cosmonauts, nationally, from almost every state in America, and internationally, from South America to the Far East. We work on very large cases and very small cases. What is important to us is your case.

Our practice is limited to the litigation of securities related matters. That is all we do, and that it all we have ever done. We offer experience, aggressive representation, and deliver the highest work product and quality legal services to our clients. Our reputation is important. We get results. That is who we are and that is what we are known for:

  • Experience –  Trial and Litigation skills, backed by subject matter knowledge, litigation experience before FINRA, the discovery process and the Code of Arbitration Procedure.
  • Aggressive representation—  Litigation is seldom a level playing field.  Results are always the product of aggressive advocacy, a dedication to the issues, hard work, impeccable preparedness, and zeal.
  • Reputation– Honesty and integrity with respect to our clients, intellectual honesty, integrity and respect to the process, opposing counsel and the tribunal. 

Contact Us for a Free No Obligation Evaluation of your Claim

If you believe you may have been the victim of securities or investment fraud, the provision of defective investment advise, the sale of defective financial products, negligence, breach of fiduciary duty, or other wrongful conduct by your stockbroker or investment professional, contact us for a free, confidential, no obligation evaluation of your claims and whether we can assist you in helping recover your investment losses.

We offer our services exclusively on a contingent fee basis, meaning you owe us nothing, and pay us nothing, unless we are able to make a recovery for you. If you would like us to evaluate or to review the specific facts in your case or claim, contact us or call us at (877) 732-2889 for a free, no obligation evaluation of your claims by a lawyer. All inquires are confidential.