Legal Blog
Get Your Free Consultation
Practice Areas
Recent Posts
Investments in Non-Traded REITs hit a 4-year high.
As reported in the DI Wire, non-traded REITs posted the highest monthly fundraising in nearly 4 years. As FINRA arbitration attorneys, our firm has represented a number of clients who have sued their stockbrokers or financial advisors for the improper sale of...
read moreWhat if my Stockbroker Did Not Disclose the Risks of Investing in a Security?
If a financial advisor or stockbroker misleads an investor into thinking that a particular security, such as a stock or bond, is less financially risky than it actually is, the investor is likely to sustain devastating financial losses. This is a form of securities...
How Do I Know if My Broker or Financial Advisor is Taking Advantage of Me?
If you can prove that your financial advisor caused you to suffer financial losses by engaging in fraud or financial misconduct, you may be able to recover compensation with help from an aggressive and experienced FINRA arbitration lawyer. However, before you can file...
What to Do if Your Financial Advisor Sold Stocks without Telling You
Selling stocks is a key duty for stockbrokers and other financial professionals. However, that does not mean investment advisors and brokers have the right to sell stocks indiscriminately. On the contrary, it is generally unlawful for a stockbroker or financial...
What to Do if Your Financial Advisor Bought Stocks without Telling You
Purchasing stocks is one of the most important functions a financial advisor or stockbroker can perform for his or her clients. However, advisors generally must obtain permission before buying stocks or other securities. Unless you contractually authorized your...
How Do I File a Complaint About a Financial Advisor?
Unfortunately, statistics indicate that thousands of investors file complaints against financial advisors, stockbrokers, and other financial professionals each year. Many of these complaints result in formal action against the broker or financial advisor, and...
What if My Financial Advisor Switched Me from One Mutual Fund to Another Without Reason?
As a client of a financial advisor, your broker or other account manager owes you particular duties. These may depend heavily on the specifics of your situation and on state law, but, ultimately, the Financial Industry Regulatory Authority (FINRA)’s professional rules...