WE RECOVER INVESTMENT LOSSES
Because Experience Matters Let Us Fight for You
Wronged Investors Have Options
Securities broker-dealers are required by federal securities laws and self-regulatory guidelines to safeguard customer accounts from fraud and to properly monitor the behavior and business dealings of their associated individuals or stockbrokers who are engaged in the sale of securities or other investment-related activities. Investment losses have the power to change lives for the worse. Investors are often unaware of the reason behind their investment losses or whether they have legal recourse. Many investors just point the finger at themselves. A lot of investors are also not aware that they must arbitrate their claims and may be able to recoup their investment losses by bringing a lawsuit before the Financial Industry Regulatory Authority, or FINRA, which acts as the venue for the adjudication of these claims.
Investors who have been exploited and/or deceived have a responsibility to take action, otherwise their claims may be precluded by operation of law, the passing of time since the event or events giving rise to their claims, and, in some cases, the discovery of these claims following the exercise of reasonable care. In order to assess your claims and understand your rights and duties if you have experienced investment losses, you should speak with a securities or investment fraud attorney.
Securities Arbitration Claims
Legal and regulatory concerns are typically complicated in securities arbitration proceedings. In order to diligently contest these allegations, securities broker-dealers usually have access to practically endless resources and highly skilled securities arbitration lawyers or counsel. The prosecution and defense of securities related investor arbitration claims can be difficult. This area of the law typically calls for knowledge and experience handling the pertinent legal issues, which frequently involve the application of federal securities laws, regulations, self-regulatory rules, specific state “blue-sky” laws, the common law, and navigating the FINRA Code of Arbitration Procedure.
You should hire top attorneys just like Wall Street does.
We have battled for investors’ rights for more than 30 years. For small and major investors, including individuals, early retirees, trusts, pension plans, and huge institutions, we have accepted and successfully contested complicated securities arbitration and other disputes. These clients came to us from all over the world. We have knowledge that goes beyond the law. We are familiar with the rules, regulations, and practices of the securities business as well as complicated financial instruments. For more than 30 years, it has served as the cornerstone of our work. We only ever do this, and we only ever have done this. Customers choose us because of our qualifications, standing, and track record. Yet, when we take on their representation, we take on more than simply their needs as clients. We obtain satisfactory outcomes because we work tirelessly and passionately to get them, and we are especially pleased with what our clients have said over the years about the excellence of our legal representation.
Investors Ought To Investigate
Investors have the right to depend on the expertise, experience, or trusted counsel of their financial professional, regardless of their background or wealth. But investors frequently turn to cousins or other close family members who work in finance, or a religious or affinity group for advice. They often rely on financial advisors who have been endorsed by the companies they work at too. Many investors are recruited via complimentary lunches or dinners, and they are then presented with a biased or sometimes misleading presentation on a specific investment that frequently comes with large commissions.
Everyone who invests has a right to the truth. Yet everyone who invests has a responsibility to do their research beforehand. Investors generally shouldn’t invest in something they don’t properly understand. Something that seems too wonderful to be true probably is. Look into your financial advisor. Is the individual handling your finances a registered stockbroker, an investment advisor, or both? Have you restricted your ability to file a lawsuit in court, before FINRA, or elsewhere? Does FINRA BrokerCheck list any prior customer grievances, arbitration claims, or regulatory actions brought against that person or their company? 
What are the financial motivations for stockbrokers? What are the financial incentives for the brokerage firm? Do the people recommending or selling these securities or financial products have their own financial interests in mind when they do so, typically at the expense of the investor, in mind when they promote or sell them? There is no such thing as a free lunch unless you’re a stockbroker giving an investor-recruitment seminar that is sponsored and paid for by the people who are selling the securities or other recommended investments. Promissory notes, direct investments, and such schemes should all be avoided. Is the brokerage business authorized to sell you the securities? Are the securities being sold to you exempt from registration under state and federal law, or are they registered? Be watchful, and take action if you suspect something is amiss. The repercussions of inaction are sometimes devastating. To find out your rights and duties if you have experienced financial losses, you should speak with a securities arbitration and investment fraud attorney.
Hire The Best Lawyers
Investors should research any potential legal advice. We don’t want to imply that the quality of the legal services to be provided by other attorneys is superior to the quality of the legal services to be provided by us. Yet you shouldn’t just depend on advertising, claims of knowledge, or a legal firm’s slick website. Look into them. Pose inquiries. Consult additional experts. Many of our cases are referred to us by other attorneys, accountants, and even financial experts.
Ask potential attorneys about their experience, including the length of time they have spent fighting FINRA securities arbitration cases. In a final hearing, how many cases have they actually tried? What, if any, additional practice areas do they have? Do they belong to the PIABA (Public Investors Advocacy Bar Association)? Regardless of the size of the company, will an associate or the person whose name is on the door litigate or try your case? Are they accommodating to their clients? What do their previous clients think of them? Be mindful of representatives soliciting securities arbitration claims who are not licensed or who are not attorneys. Be careful of promises made by anybody hoping to acquire your business by promising to win or to recover your investment losses or damages, including exemplary damages, interest, charges, lost profits, and attorney’s fees. Despite the fact that each case is unique, there is always risk involved. It’s possible that your prospective counsel is just saying what you want to hear. Only cases that have merit are accepted by us. We are litigators, not cheerleaders. We are a “boutique” law firm with national locations that only represents investors in securities arbitration claims against stockbrokers and their brokerages firm for misconduct, including securities fraud, negligence, breach of fiduciary duty, the recommendation of defective investment products, unsuitable investments, theft, selling away, and the failure to disclose material information to investors.
To recover your investment losses, we have the tools, expertise, and resources to compete with the biggest global banking and investment institutions and the people connected to them. Thanks to the outcomes we produce, our clients favor us. Because of our demeanor, familiarity with the pertinent legal problems, and the caliber of our work, arbitrators respect us, or at the very least pay attention to us. If anything, defense attorneys value our expertise. But, because we hold stockbrokers and their investment businesses liable financially for the victims of their malpractice, they typically dislike us.
Contingent Fee Representation
We back up our words with deeds (and resources). We provide our legal services on a contingent-fee basis, which means that we pay all costs up front and that there are no fees or costs (where allowed) unless we successfully collect money for you. Your duty is to assist us in pursuing your claims in a cooperative manner.
The best part is that, subject to any actual or potential conflicts of interest, we offer investors a free, no-obligation, confidential consultation to investigate any claims they may have if they have experienced investment losses, believe they may have been the victim of securities or investment fraud, or are seeking qualified counsel to represent them in a legal matter or securities arbitration claim. We don’t accept just any cases. The review or investigation of your claim, however, is quick and easy. For a free, no-obligation video consultation to discuss any securities-related claim you may have with an experienced securities arbitration lawyer, contact our office at any time. We are always accessible by appointment. Time is of the essence. Many irate investors choose not to take action before it is too late. Brokerage businesses or securities broker-dealers shut down, seek bankruptcy protection from creditors, or are barred from the market by authorities, often for the same or similar crimes committed against their other clients. Throughout the securities sector, mergers and acquisitions modify the registration and identity of securities broker-dealers. Stockbrokers frequently switch companies, which may have negative effects for a number of reasons, especially if an investor continues to depend on misleading investing advice when determining whether to buy, sell, or hold a specific stock. 
Many disgruntled investors put off taking action. People regularly find it difficult to face reality. Confirmation bias is the term used by psychologists. “It is easier to mislead people than to convince them that they have been tricked,” said Mark Twain. Due to shame, many investors place the responsibility on themselves or do nothing. Many investors are unaware that they are not alone and that the FINRA securities arbitration procedure is a legal means of recovering investment losses caused by wrongdoing. Every claim has a deadline. Claims involving FINRA securities are only admissible for arbitration before FINRA within six years of the circumstances giving birth to such claims, and maybe even after those claims were discovered through the use of reasonable care.
According to state law, any claims for common law fraud, fiduciary responsibility violations, or other torts must be filed within two (2) years of the date on which they were discovered after exercising reasonable diligence. According to the federal securities laws, all such claims must be filed within two (2) years of the date on which any such claim was discovered or within five (5) years of the date on which the circumstances giving birth to the claim(s) occurred, whichever comes first.
These claims may be permanently lost or time-barred if an injured investor misses the deadline to file a formal lawsuit in a court of competent jurisdiction or before FINRA Dispute Resolution. Time is thus always of the essence, and if you believe you have been the victim of investment fraud or securities fraud, you should immediately speak with a knowledgeable securities arbitration attorney to learn more about your legal options. We provide a free, private consultation to assess your claims (subject to certain restrictions), and we represent investors on a contingent-fee basis, which means that we are not paid unless we are successful in recovering money for you. To learn more or to talk with one of our attorneys, get in touch with us right away.
OUR PRACTICE AREAS
FINRA Arbitration
The litigation of individual and group investor claims against securities broker-dealers and investment professionals adjuducated in arbitration before the Financial Industry Regulatory Authority.
Defective Financial Products
Alternative Investments, Promissory Notes, Structured Products, High Yield Bond Funds, Non-Marketable Real Estate Investment Trusts, Inverse and Leveraged ETFs, the Failure to Conduct Due Diligence.
Unsuitable Investments
Speculative or High Risk Investment Recommendations, Unsuitable Investment Strategies, Low Priced Securities, Customer Specific Unsuitability, Inappropriate Investment Recommendations.
Stockbroker Misconduct
Breach of Fiduciary Duty, Churing, Unauthorized Trading, Fraud, Stockbroker Theft, Ponzi Schemes, the Sale of Unapprovied investments.
OUR OFFICE LOCATION
If you believe that you have been the victim of securities or investment fraud fraud, contact us for a free confidential evaluation of your claim. See Important Disclaimer
2750 NE 185th Street, Suite 302
Aventura, Florida 33180-2877
Direct: (786) 490-2413
Toll Free: (877) 732-2889
We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
