WE RECOVER INVESTMENT LOSSES
Because Experience Matters Let Us Fight for You
Wronged Investors Have Options
Securities broker-dealers are also 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 seriously damage people’s lives. Investors frequently are unaware of the reason behind their investment losses or whether they have legal recourse. Many investors only point the finger at themselves. A lot of investors are also not aware that they must arbitrate their claims and may be able to recover their investment losses by bringing a lawsuit before the Financial Industry Regulatory Authority, or FINRA, which serves as the forum for the adjudication of these claims.
Investors who have been victimized have a responsibility to take action, otherwise their claims may be barred 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 diligence. In order to assess your claims and understand your rights and obligations if you have experienced investment losses, you should speak with a securities or investment fraud attorney.
Securities Arbitration Claims
Legal and regulatory issues are commonly complex in securities arbitration claims. In order to tenaciously contest these allegations, securities broker-dealers frequently have access to almost limitless resources and highly skilled securities arbitration lawyers or counsel. Investor arbitration claims involving securities can be difficult to both prosecute and defend. 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 fought for investors’ rights for more than 30 years. For small and large investors, including individuals, early retirees, trusts, pension plans, and large institutions, we have accepted and successfully litigated complex securities arbitration and other claims. These investors 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 industry as well as complex financial products.
For more than 30 years, it has served as the cornerstone of our practice and knowledge. Clients choose us because of our qualifications, standing, and track record. However, when we take on their representation, we take on more than just their needs as clients. We get results because we work arduously and zealously to achieve them, and we are especially proud of what our clients have said over the years about the caliber of our legal representation.
Investors Ought To Investigate
Investors have the right to rely on the expertise, experience, or trusted counsel of their financial professional, regardless of their background or wealth. Investors frequently turn to relatives, other close family members who work in finance, or a religious or affinity group for advice. They might also rely on financial advisors who have been endorsed by their employers or companies. Many investors are recruited via free lunches or dinners, and they are then presented with a biased or even fraudulent presentation regarding a specific investment that frequently comes with high commissions. Everyone who invests has a right to the truth. But everyone who invests has a responsibility to do their research first as well.
Investors generally shouldn’t invest in anything they don’t fully understand. Anything that seems too good to be true probably is. Look into your financial advisor. Is your financial advisor a licensed investment advisor, a registered stockbroker, or both? Have you restricted your ability to file a lawsuit in court, before FINRA, or elsewhere? Does FINRA BrokerCheck provide information about previous customer complaints, arbitration claims, or legal actions taken against that person or their company? 
What are the financial incentives for the stockbrokers? What are the financial incentives for the brokerage firm? Are these securities or financial products being recommended or sold in order to increase commissions and fees and advance the financial interests of the seller (typically at the expense of the investor)?
There is no such thing as a free lunch or dinner unless you’re a stockbroker holding 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 other schemes should all be avoided. Is the brokerage firm 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 consequences of inaction are quite often disastrous. To find out your rights and obligations if you have experienced financial losses, you should speak with a securities arbitration and investment fraud attorney.
Hire The Best Lawyers
Investors would do well to research any potential legal counsel. We don’t mean to imply that the quality of the legal services to be provided by other lawyers is superior to the quality of the legal services to be provided by us. However, you shouldn’t solely rely on advertising, claims of expertise, or a law firm’s glitzy website. Look into them. Pose inquiries. Consult other experts. Many of our cases are referred to us by other attorneys, accountants, and even financial experts.
Ask potential attorneys if they or their firm have experience trying FINRA securities arbitration cases, and if so, how much time they have had the experience. At a final hearing, how many cases have they actually tried? What, if any, additional practice areas do they have? Do they belong to PIABA (Public Investors Advocacy Bar Association)? No matter the size of the firm, the person whose name is on the door will litigate or try your case instead of an associate? Are they accommodating to their customers? What do their previous customers think of them? Be cautious of representatives soliciting securities arbitration claims who are not licensed or who are not attorneys.
Be wary of promises made by anyone promising to win or to recover your investment losses or damages, including exemplary damages, interest, costs, lost profits, and attorney’s fees. Despite the fact that each case is unique, there is always a risk. It’s possible that they’re 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 financial and investment firms and the people connected to them. Due to the results we produce, our clients favor us. Because of our demeanor, familiarity with the pertinent legal issues, 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. However, because we hold stockbrokers and their investment firms liable financially for the victims of their misconduct, they generally dislike us.
Contingent Fee Representation
We also back up our words with deeds (and resources). We provide our legal services on a contingent-fee basis, which means that we cover all costs up front and that there are no fees or costs (where allowed) unless we successfully recover 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. All claims are not accepted by us.
The evaluation or investigation of your claim, however, is quick and easy. For a free, no-obligation virtual consultation to discuss any securities-related claim you may have with an experienced securities arbitration lawyer, contact our office at any time. We are also always available by appointment. Time is of the essence.
Many injured investors choose not to take action before it is too late. Brokerage firms or securities broker-dealers shut down, seek bankruptcy protection from creditors, or are barred from the market by regulators, frequently for the same or similar wrongdoing committed against all or the majority of their other clients, including you. Within the securities industry, mergers and acquisitions often change 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 rely on tainted investment advice when deciding whether to buy, sell, or hold a particular security. 
Many resentful investors put off taking action. They frequently find it difficult to face reality. Confirmation bias is the term used by psychologists. “It is easier to fool people than to convince them that they have been fooled,” is a quote attributed to Mark Twain.
Due to embarrassment, many investors place the blame on themselves or do nothing. Many investors are unaware that they are not alone and that the FINRA securities arbitration process is a legal means of recovering investment losses caused by misconduct. Every claim has a deadline.
Only claims involving FINRA securities are admissible for arbitration before FINRA within six years of the events giving rise to those claims, and possibly even after those claims were discovered through the use of reasonable diligence.
According to state law, all claims for common law fraud, fiduciary duty 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 events giving rise to the claim(s) occurred, whichever comes first.
These claims may be permanently lost or time-barred if an aggrieved investor misses the deadline to file a formal lawsuit in a court of competent jurisdiction or before FINRA Dispute Resolution.
Time is therefore always of the essence, and if you believe you have been the victim of investment fraud or securities fraud, you should speak with a qualified securities arbitration attorney to learn more about your legal options.
We provide a free, confidential consultation regarding the assessment of these 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 speak with one of our attorneys, get in touch with us today.
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
1700 Market Street, Suite 1005
Philadelphia, PA 19103
Direct: (215) 413-8223
Toll Free: (877) 732-2889
If you believe that you have been the victim of securitiies or investment fraud fraud, contact us for a free confidential evaluation of your claim. See Important Disclaimer
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.
