Investor Protection and Securities Arbitration

I know the feeling. Planning for your financial security can be one of the most significant decisions in your life. And with so many ways to invest, choosing the right path can be difficult - and stressful. And, let's face it: Walk down any street in town and you will run into a multitude of folks calling themselves financial services professionals who will look for ways to help you part with your money. So, not only are the choices in investments difficult, but picking the right advisor can also be a game-changing decision. How likely is it that your interests are aligned with your investment advisor's interests?

I should know. I spent 11 years in the financial services industry as a trader, financial advisor, insurance agent and registered principal. I served for 6 years as a managing director for a branch of a Fortune 100 financial services company. I know the industry, I know the players, I know the rules. Most importantly, I know all of the ways that regular folks can get taken advantage of by the people supposedly minding their money. My clients are commonly the victims of securities fraud, unsuitable investment strategies, misrepresentations, and improper account management.

Maybe you feel the need to consult with an independent professional before entering into a complex relationship with a financial advisor, life insurance agent or financial planner.

Maybe your financial advisor is recommending an investment or plan that doesn't quite seem right to you.

Or, maybe you feel that your financial advisor or agent has taken advantage of you or put his own financial interests ahead of yours.

These are just some of the instances where my firm can help. Among other things, we represent investors nationally in FINRA arbitrations. Our goal is to recover investment losses for our clients from broker-dealers and financial advisors. Our clients are commonly the victims of securities fraud, unsuitable investment strategies, misrepresentations, violations of fiduciary rules and improper account management

But, an ounce of prevention is the best medicine. Call us before it gets to that point.