INVESTORS RIGHTS & SECURITIES ARBITRATION

HELP FOR INVESTORS FROM A UNIQUE LAW FIRM

Clients invest to earn money for future needs, such as college tuition or retirement.  But not every investment pays off.  In some cases, the investor commits funds at the wrong time or to the wrong asset.  In other cases, however, a broker or financial advisor may be at fault for the loss.  Claims resulting from market losses may be based on everything from fraud to unauthorized trading to recommending unsuitable investments.

In the financial services industry, customers invariably (and often unwittingly) agree, when they establish their accounts, to settle all claims by arbitration.  Instead of going to court, they must instead assert their claims before the Financial Industry Regulatory Authority (FINRA).  More broadly, FINRA also entertains monetary disputes between customers, employees, banks, brokerage firms, insurance companies, and other members of the financial services industry.

Our securities arbitration team represents individuals and institutions in disputes with Wall Street and the financial services industry. We also handle claims of any sort that may come before FINRA.

We typically pursue investor arbitration cases on a contingency fee basis, which means that clients would owe legal fees only if we recover money their behalf. We typically handle other arbitration claims before FINRA on an hourly or hybrid basis.

Personal and retirement assets are the foundation of every client’s financial security.  Market losses inevitably happen.  When they happen because of wrongdoing by a broker or financial advisor, however, our securities arbitration team stands ready to obtain compensation.

ATTORNEY PROFILES

Types Of Claims

  • Fraud/misrepresentation
  • Negligence
  • Margin/leverage
  • Excessive Trading/ Churning
  • Unauthorized Activity
  • Excessive Markups/ Markdowns
  • Breach Of Fiduciary Duty

Matrix Corporate Center 39 Old Ridgebury Road
Suite D2
Danbury CT 06810
203.744.1929