Recover Investment Losses

"They lost my retirement money!" "They sold me worthless stocks!" "They said there was no risk." "My life savings are gone." These cries of pain, anger and frustration are the dark side of the world of investments. People are constantly shocked at how much of the money they invested with brokers vanished, and at how fast it happened. If this sounds familiar to you, if you have investment losses, I may be able to help you.

With more than 20 years experience as a securities arbitration attorney representing customers and brokerage firms alike, as well as 10 years as a registered stockbroker prior to that, I can help you evaluate your case and, if warranted, work with you on a plan of attack to recover investment losses with money damages against the wrongdoers.*

Common claims are:

  • Unsuitable investments - too much risk given what your investment objectives and financial circumstances permit
  • Churning - out-of-control buying and selling of stocks
  • Unauthorized trading - buying securities without your prior approval
  • Misrepresentation and failure to disclose - not telling you the whole truth and not properly disclosing the risks
  • Using complicated margin and options strategies

Possible Solutions:

Generally, most claims are subject to binding Arbitration through the Financial Industry and Regulatory Authority, known as FINRA. Hearings are held at the FINRA Facility closest to where the public customer resides. An Arbitration Panel of three Arbitrators hears your case and renders a decision. The process generally takes 9-18 months. Most cases can be resolved without the need for an in-person hearing. Some cases can be resolved through Mediation in which a Mediator familiar with securities matters is appointed and who works with the parties to achieve a settlement. There are special accommodations for the sick and elderly. Contact us for a free case evaluation.

*There can be no assurance of a positive outcome as each case is unique.