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Investment Fraud Lawyers
Investment losses can be devastating and life-changing. New investors often don’t understand the cause of their investment losses or what their legal options are in the wake of them. Many investors simply blame themselves and don’t even consider contacting a securities fraud lawyer or pursuing securities litigation to redress their financial advisors’ coercion or misrepresentation.
Regardless of whether you’ve invested in stocks, bonds, mutual funds, annuities, or another type of security, you deserve justice if you’ve been misled.
The Guiliano Law Group Can Help You Recover Investment Losses
Unlike many of our competitors, we don’t rely upon self-proclaimed expertise, attorney advertising, or a flashy website. Quite the opposite—our legal track record speaks for itself.
Although we have all mostly come from large or larger law firms, we are a “boutique” law firm nationally situated across the country that only does one thing: represent investors in securities arbitration claims against stockbrokers and their brokerages firm for misconduct, including securities fraud, negligence, ponzi schemes, breach of fiduciary duty, the recommendation of defective investment products, unsuitable investments, theft, selling away, and the failure to supervise.
We have the resources, knowledge and experience to take on large, multinational financial and investment firms and their associated persons to recover your investment losses. Our clients prefer us because we get results. Arbitrators generally like us, or at least listen to us, because of our civility, knowledge of the relevant legal issues, and the quality of our work product.
We’re here to help. Call us at (877) 732-2889 or fill out a contact form for a no obligation Free Consultation.
When to Consider an Investment Fraud Attorney
Many investors are also unaware that they are required to arbitrate their claims and may be able to recover their investment losses by filing an action before the Financial Industry Regulatory Authority (FINRA), which serves as a forum for the adjudication of these claims.
Wronged investors also have a duty to act, or else their claims may be barred by operation of law and the passage of time from the occurrence or events giving rise to their claims (and, when applicable, the discovery of these claims upon the exercise of reasonable diligence).
Fortunately, you have the power to recover your investment losses resulting from broker misconduct such as stockbroker fraud, unauthorized trading, excessive trading, negligence, the sale of defective financial products, and/or investment recommendations involving unsuitable investments.
If you suspect you have been the victim of securities or investment fraud, you should consult a qualified securities arbitration and securities fraud attorney to determine your rights and responsibilities.
Not Every Investor Needs a Fraud Lawyer
A disclaimer: not all investment losses are actionable. Nor are all the results of misconduct. All types of investments involve risk. However, stockbrokers and their brokerage firms (as well as securities broker-dealers) have certain fiduciary duties owed to their customers, including the duty to be truthful, to act in the customer’s best interest, to conduct due diligence on financial products, and to make only suitable recommendations to customers based upon their stated investment objectives and tolerance for risk.
Securities broker-dealers also have a duty under the federal securities laws and self-regulatory rules to protect their customer accounts from fraud and to adequately supervise the conduct and activities of their associated persons or stockbrokers (such as conducting business with the investing public, engaging in the sale of securities, and partaking in other investment-related activities).
When is it Too Late to Hire a Brokerage Fraud Lawyer?
Time is always of the essence. Unfortunately, many aggrieved investors procrastinate. They often find it difficult to confront the truth. Many others blame themselves or fail to take action as the result of embarrassment. Many do not know that the law provides for the recovery of their investment losses due to misconduct through the FINRA securities arbitration process.
Brokerage firms or securities broker-dealers can close, file for bankruptcy protection, or are expelled by regulators, often for the same or similar wrongful conduct perpetrated on all or most of their other customers, including you.
The registration and identity of securities broker-dealers change frequently due to mergers and acquisitions within the securities industry. Stockbrokers often change firms, which may have consequences for a variety of reasons, particularly when an investor continues to rely upon misleading investment advice when deciding to buy, sell, or hold a particular security.
All claims are time-sensitive. FINRA securities arbitration claims are only eligible for arbitration before FINRA within six years of the date of events giving rise to their claims, and arguably the discovery of their claims upon the exercise of reasonable diligence.
Under the federal securities laws, all such claims must be brought within two years from the date of discovery of any such claim, or five years from the date of the occurrence of the events giving rise to the claim(s) (whichever period is shorter). Generally, under state law, all claims for common law fraud, breach of fiduciary duty, or other tort issues must be brought within two years of the date of discovery upon the exercise of reasonable diligence.
If an aggrieved investor fails to bring these claims by filing a formal legal action in a court of competent jurisdiction or before FINRA Dispute Resolution within these proscribed times, their claims may be forever lost or time-barred.
Securities Arbitration Claims and Security Fraud Lawyers
Securities arbitration claims often involve complex legal and regulatory issues. Securities broker-dealers often have almost unlimited resources and highly experienced securities arbitration lawyers to vigorously defend such claims.
Cases related to financial services require knowledge of and extensive experience with dealing with relevant legal issues, which often involve the application of federal securities laws, regulations, self-regulatory rules, individual state “blue-sky” laws, the common law, and FINRA rules such as the Code of Arbitration Procedure.
Our firm’s lawyers have over 30 years of experience, during which we have fought hard for the rights of investors. We have accepted and have successfully litigated complex securities arbitration cases and other claims for both small and large investors, including individuals, early retirees, trusts, pension plans, and large institutions from all over the world. Our experience goes beyond the law—we understand complex financial products and securities industry rules, regulations and procedures.
Our clients are more than just our clients—when we take on their fraud cases, we take on their causes.
Signs You Need an Investment Lawyer
Individual investors, irrespective of their background or wealth, have the right to rely upon the knowledge, experience and trusted advice of their investment advisors. Unfortunately, those advisors often take advantage of the people they purport to help. For instance, many investors are solicited through free lunches or dinners and are given a one-sided or fraudulent presentation with regard to a particular (often high-commissioned) investment.
There are many questions you should ask yourself before soliciting the help of a financial advisor. Is your financial professional a registered stockbroker? Or is that person a financial advisor? Or both? Have you limited your right to sue in court, before FINRA, or somewhere else? Does FINRA BrokerCheck reveal a history of customer complaints, arbitration claims or regulatory proceedings against that person or their firm?
What are the stockbroker’s financial incentives? What are the brokerage firm’s financial incentives? Are these securities or financial products being recommended or sold to generate or maximize commissions and fees (and further their own financial interest) generally at the expense of the investor?
Are the securities you are being sold approved by the brokerage firm? Are the securities you are being sold registered, or exempt from registration under state and federal law?
If you have suffered financial losses as a result of any of the aforementioned scams, you should consult a securities arbitration and/or investment fraud lawyer to determine your rights and obligations.
Beware Suspect Securities Fraud Attorneys
Before hiring a securities fraud attorney, it’s critical that you do your due diligence.
Ask prospective counsel if they or their firm have experience litigating FINRA arbitration claims, and if so, for how long. How many cases have they actually tried at a final hearing? What are their other practice areas, if any? Are they members of the Public Investors Advocacy Bar Association (“PIABA”)? Irrespective of firm size, will your case be litigated or tried by an associate or by the person whose name is on the door? Are they responsive to their clients? What do their former clients have to say about them?
Be wary of unlicensed or non-attorney representatives soliciting securities arbitration claims. Be wary of guarantees by anyone promising to win, or promising that they will recover your investment losses or damages, including exemplary damages, interest, costs, lost profits, and attorney’s fees simply to earn your business. Every case is different, and every case involves risk. That person may simply be telling you what you want to hear.
What Makes Us Different from Other Investment Attorneys?
We offer our legal services on a contingent-fee basis, meaning that we advance all costs and there are no legal fees or expenses (where permitted) unless we make a recovery for you. Your only obligation is to cooperate with us in connection with the prosecution of your claims.
Best of all, if you have suffered investment losses, think that you may have been the victim of securities or investment fraud, or are seeking qualified counsel to represent you in a legal matter or securities arbitration claim, (subject to any actual or potential conflicts of interest) we offer investors a free, no-obligation, confidential consultation to investigate any claims that they may have.
We do not accept all claims, but the evaluation/investigation of your claim can be simple and convenient. Our office is always available. Moreover, we are always available by appointment for a virtual consultation to discuss any securities-related claim that you may have with a qualified securities arbitration lawyer, free of charge and without obligation.
Contact us today for more information or to speak with one of our investment fraud attorneys.
WE RECOVER INVESTMENT LOSSES
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– Experience –
Trial and Litigation skills, backed by subject matter knowledge, litigation experience before FINRA, the discovery process and the Code of Arbitration Procedure.
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 and lottery winners to police officers, and early retirees, nationally, from almost every state in America, and internationally, from South America to the Far East.
– 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, creativity, and zeal.
We work on very large cases and very small cases. What is important to us is your case.
– Reputation –
Honesty and integrity with respect to our clients, intellectual honesty, integrity and respect to the process, opposing counsel and the tribunal.
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 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.
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FINRA Securities Arbitration →
Defective Financial Products →
Unsuitable Recommendations →
Stockbroker Misconduct →
Breach of Fiduciary Duty →
Stockbroker Negligence →
Elder Financial Abuse →
Churning or Excessive Activity →
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Margin Fraud →
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Sale of Unregistered Securities →
Ponzi Schemes →
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