- free consultation
- We Don’t Get Paid Unless You Win
Non-traded REIT, Unsuitable investment recommendation, breach of fiduciary duty, lack of supervision
Fraudulent universal life insurance sales, omission of material facts, lack of supervision
Variable Annuity – Unsuitable Investment Recommendation, Senior Citizen Exploitation, Lack of Supervision
Variable Annuity – Unsuitable Investment Recommendation, Lack of Supervision
Indexed Annuity – Unsuitable Investment Recommendation, Senior Citizen Exploitation, Lack of Supervision
Variable Annuity – Unsuitable Investment Recommendation, Breach of Fiduciary Duty, Lack of Supervision, Senior Citizen Exploitation
Structured Product – Unsuitable Investment Recommendation
Non-Traded REIT – Unsuitable Investment Recommendation, Lack of Supervision, Senior Citizen Exploitation
Variable Annuity – Unsuitable Investment Recommendation, Breach of Fiduciary Duty, Lack of Supervision
Variable Annuity – Unsuitable Investment Recommendation
Private Placements – Lack of Supervision, Unsuitable Investment Recommendation
Churning and Lack of Supervision
Option Trading and Unsuitable Investment Recommendation
Reverse Churning – Breach of Fiduciary Duty, Lack of Supervision
Glenn is one of the most experienced and knowledgeable stock loss attorneys in the state. I would not hesitate to contact him if you have concerns about your broker managed stock losses. He’s one of the only lawyers that focus on these types of cases.
No obligation, no pressure – just honest evaluation
Securities and investment fraud leave more than just financial issues; it shakes your sense of trust, your confidence, and often your future plans. It’s a deep betrayal, especially when you’ve done everything right: worked hard, saved carefully, and relied on professional advice. When that trust is broken, it’s more than unfair; it demands justice. At Mazer Law Firm PC, we focus on turning financial betrayal into justice, helping people like you hold fraudsters accountable and fight for what’s been taken.
Experience matters when millions are at stake. With over 20 years in the financial industry, including time as a stockbroker and investment advisor for a Fortune 100 bank, top-rated Securities and Investment Fraud Attorney Glenn Mazer brings a rare, insider understanding of how misconduct unfolds and how to expose it. When you speak with us, there’s no obligation and no pressure. Just a straight, honest evaluation. No sugar-coating. You’ll hear exactly where your case stands, what’s strong, what needs support, and what your real options are.
You worked hard for your money. When someone betrays that trust, you deserve an advocate who understands both the financial and emotional impact of that loss. We keep things ethical and transparent, making sure your best interests always come first. But time matters. The longer you wait, the more evidence disappears. Fraudsters are counting on your silence, hoping shame will keep you from acting. Don’t let them win.
Contact us today at (205) 644-3744 and let’s talk about how to take that first step toward recovery.
Glenn Mazer is a very attentive and knowledgeable attorney and has always been very easy to work with.
Securities fraud doesn’t always start with a bold lie or an obvious scam. Sometimes, it’s buried in paperwork, cloaked in industry jargon, or masked as trustworthy advice. If you’ve invested your money and feel that something just didn’t add up, misleading information, unauthorized trades, or broken promises, staying informed is a way of fighting back. Let’s walk through the signs, your rights, and how a dedicated legal advocate can help you protect your rights.
You might not spot securities fraud immediately. It often looks like a “bad investment” on the surface, but there are certain patterns that signal misconduct. These are not just poor choices; they’re violations that can entitle you to legal recourse.
Here are some common deceptive practices:
These tactics often come with false assurances, pressure tactics, or complex financial language. You have every right to question these actions and seek legal support when you suspect they’ve crossed a line.
| Deceptive Practice | What It Means | Example |
|---|---|---|
| Churning | Excessive trading in an account by a broker to generate commissions, not profits for the client | A broker buys and sells stocks daily in a retirement account, even though frequent trading is not aligned with long-term goals |
| Misrepresentation or omission of material facts | Providing false or incomplete information that misleads an investor | An advisor assures that an investment is risk-free but fails to disclose the company is under investigation |
| Unsuitable investments | Recommending high-risk investments that don’t match an investor’s financial situation or goals | A retiree seeking stable income is guided into speculative cryptocurrency funds |
| Unauthorized trading | Buying or selling securities without the investor’s knowledge or approval | An account shows trades that were never discussed or approved |
| Ponzi schemes or pyramid investments | Returns are paid to earlier investors using funds from new investors, not legitimate profits | A fund promises consistent high returns, but payouts come only from recruiting new participants |
The Alabama Securities Act (Code of Alabama, Title 8, Chapter 6) lays the foundation for investor protection. It requires anyone who sells, advises on, or trades securities in Alabama to register with the state and to deal honestly with clients. Most states (like Florida) have followed and adopted similar Acts to protect investors in this manner.
If you believe your broker misrepresented risks, concealed fees, or sold unregistered products, the Alabama Securities Act, and similar legislation in other states give you a path to recover losses and to hold the wrongdoer accountable.
FINRA, the self‑regulatory body for U.S. broker‑dealers, enforces rules that work alongside Alabama law. Its flagship suitability rule (FINRA 2111) demands that every recommendation fit your personal profile, age, goals, risk tolerance, and more.
A broker who ignores these duties may breach the standard of care, opening the door to arbitration or court action when you suffer losses linked to unsuitable advice.
Since June 30, 2020, broker-dealers have been held to a higher legal standard under Regulation Best Interest (Reg BI), which was established by the SEC to strengthen protections for retail investors. Unlike the “suitability” rule that merely required brokers to recommend investments appropriate for the client, Reg BI raises the bar, requiring brokers to act in the best interest of the retail customer at the time a recommendation is made. They cannot put their own financial gain ahead of yours.
Reg BI includes four key components:
While Reg BI draws from fiduciary principles, it’s not identical to the broader fiduciary duty that applies to registered investment advisers. Still, its enforcement offers a stronger foundation for investors like you to question misleading or self-serving advice.
This standard interacts with existing FINRA rules, particularly Rule 2111, which still applies and includes three prongs of suitability: reasonable-basis, customer-specific, and quantitative. Under both frameworks, when brokers recommend unsuitable investments—or trade excessively in your account to boost commissions—they may be in violation of their legal duty. And that opens the door for you to take action through arbitration or court if you’ve suffered financial harm.
If you’re feeling uncertain, overwhelmed, or just plain angry about how your investments were handled, you’re not alone. These feelings often point to something real. At Mazer Law Firm PC, our seasoned Securities and Investment Fraud Lawyer can review your situation with fresh eyes, clarify your rights, and help you seek justice that feels both fair and personal. We operate on a No Win, No Fee basis, so you don’t have to spend anything unless we win your case.
Your financial future deserves more than guesswork. Contact us today at (205) 644-3744 for experienced legal guidance.
Your consultation is with the actual lawyer who will handle your case
Glenn is a thorough and very caring lawyer. He is a huge help to our veterans, also!
Glenn Mazer brings more than 20 years of experience in the financial services industry to his legal practice, including past roles as a licensed FINRA-registered representative and SEC-registered investment advisor. He’s worked at both major brokerage firms like Morgan Stanley and smaller firms, giving him a well-rounded view of how the industry really operates. Over time, Glenn saw far too many cases of financial professionals taking advantage of their clients’ trust, and that motivated him to shift his focus to law to protect people from the very misconduct he witnessed firsthand.
Today, at Mazer Law Firm PC, Glenn represents victims of securities and investment fraud with the insight of someone who’s been on the inside. He knows how bad actors operate and how to build strong cases against them. His legal work extends to business and contract matters, as well as Captive Insurance Company formation. Clients benefit not just from legal know-how but from practical guidance rooted in real industry experience.
Investment recommendations are supposed to align with your goals, your comfort with risk, and your financial future. But when that advice misses the mark, or worse, serves the broker’s interests over your own, it can result in serious losses. Unsuitable investment recommendations aren’t just poor advice; in many cases, they may violate securities laws meant to protect you as an investor. If you’ve been steered into investments that didn’t fit your needs, you’re not alone, and you may have the right to pursue action.
Not every investment that turns out badly is unsuitable. The key issue lies in appropriateness, whether the recommendation made sense for you at the time it was given.
An unsuitable investment is one that doesn’t match your:
When a broker recommends a product, like high-yield bonds, speculative stocks, or alternative investments, that doesn’t reflect your personal situation, it raises concerns. FINRA Rule 2111 requires that brokers have a reasonable basis for every recommendation, considering your profile. If that rule was ignored, your financial loss may be more than bad luck, it could be misconduct.
Diversification isn’t just smart, it’s a basic safeguard. When too much of your portfolio is tied to one investment, industry, or type of asset, your exposure to loss multiplies.
Overconcentration can happen through:
If your broker pushed you into concentrated positions while ignoring your risk profile or financial goals, that’s not just reckless; it may be unlawful. Overconcentration is a common sign that your interests were not the priority. And when those positions collapse, the impact can be devastating.
If you’ve been pushed into investments that didn’t fit your needs or comfort level, it’s time to get a clear picture of what went wrong. Mazer Law Firm PC stands ready to help you examine the decisions that led to your losses, uncover misconduct, and pursue the recovery you deserve. Talk to a Securities and Investment Fraud Lawyer who will put your interests first, because the advice you received may have done more than disappoint.
Call us at (205) 644-3744 for a consultation.
I want to share some positive experiences I’ve had with Attorney Mazer. I retained him a few months ago based on a recommendation, despite not knowing anything about him at the time. I needed help with some legal issues in Alabama, so I made..
When you work with a financial advisor, there’s a reasonable expectation that your best interests come first. After all, you’re placing your trust and often your life savings in their hands. But when that trust is broken, the consequences can be more than just financial. A breach of fiduciary duty happens when an advisor prioritizes their own gain over your well-being. If this has happened to you, it’s potentially unlawful under U.S. securities regulations, and you may have the right to seek financial recovery.
A fiduciary has a legal obligation to act solely in your best interest when giving financial advice or managing your investments. This duty is built on loyalty, honesty, and transparency.
Key components of the fiduciary standard include:
Not all financial professionals operate under this standard. Some are held to a lower “suitability” benchmark, where they must only recommend investments that are “suitable,” not necessarily optimal. If your advisor claimed to act as a fiduciary and failed to live up to that role, you may have grounds for a legal claim under Alabama Securities laws and FINRA rules.
Conflicts of interest arise when an advisor’s personal or financial incentives clash with your goals. These conflicts can be subtle, but they often lead to biased advice that doesn’t truly serve your needs.
Common examples include:
These actions are not just unethical; they may also be illegal under U.S. securities laws. If you feel pressured into an investment that doesn’t make sense for you, a fiduciary breach may have occurred, and it’s worth exploring your legal options.
Transparency is a cornerstone of fiduciary responsibility. Advisers are required to disclose all material facts about an investment, including risks, fees, and conflicts of interest. Failure to provide this critical information can result in significant financial loss.
If your adviser didn’t provide full transparency about your investments, you may have grounds to claim a breach of fiduciary duty. This failure to disclose can lead to recoverable damages and a stronger case for taking legal action.
When an advisor places their own financial gain above your needs, it’s more than unethical. Under U.S. securities law, it’s often actionable. You’re entitled to hold them accountable, and you may be able to recover damages for the harm done.
Legal claims for breach of fiduciary duty may involve:
If you’ve been misled, taken advantage of, or left in the dark about key decisions involving your money, you don’t have to let it go. There are legal avenues available to protect your rights and seek compensation.
Your financial advisor should have been your advocate, not someone working behind the scenes for their own benefit. If you’ve been let down and left picking up the pieces, it’s time to take a closer look. Our Securities and Investment Fraud Lawyer at Mazer Law Firm, PC can help assess whether a fiduciary duty was breached and what steps you can take to pursue justice. Your trust matters, and so does your future. We operate on a contingency fee basis, meaning you don’t have to pay any fees unless we win your case. Let’s talk about how to make things right.
Contact us today for a consultation.
I hired Glenn Mazer to represent me in a complex investment fraud matter involving my IRA. Throughout the process, Glenn was knowledgeable, responsive, and thorough. He clearly understood the nuances of securities law and guided me with professionalism and…
Some financial products come with appealing language, words like “guaranteed,” “protected,” or “alternative”, but beneath that surface, they may involve significant risk, hidden fees, or restrictions that aren’t made clear at the start. These investments are often sold to individuals like you who are looking for security, income, or long-term growth, but they can end up doing the exact opposite. If you’ve been introduced to these products without full disclosure or a proper explanation, your losses may be the result of misconduct.
Variable annuities are often marketed as secure, long-term investments, but they come with high fees and a range of risks that can erode your returns.
If your adviser recommended a variable annuity without fully explaining the fees and risks, or if it doesn’t match your goals, you may have been sold an unsuitable product. This could be grounds for a claim.
Non-traded REITs are investments in real estate that aren’t publicly listed on stock exchanges. While they promise high returns, they also come with unique dangers.
If you feel that a non-traded REIT was recommended without properly addressing the risks or the suitability for your financial goals, you might have a valid case for damages.
Structured notes are often presented as innovative products offering high returns, but they are complicated for beginner investors and can lead to substantial losses.
If you’ve invested in a structured note and were not fully informed about the potential for loss or the complicated payout structure, you might have grounds for a claim under Alabama’s securities laws.
You shouldn’t need a finance degree to make sound investment decisions. If you’ve been pitched complex products that didn’t match your goals, or if you’ve suffered losses in high-risk investments you didn’t fully understand, it’s time to get answers. At Mazer Law Firm PC, we operate on a No Win, No Fee contingency basis, so you can pursue justice without worrying about legal fees. If we don’t win your case, you don’t owe us anything.
Our Securities and Investment Fraud Lawyer can help you uncover the truth behind what you were sold and take legal action when your trust was taken for granted. Your financial future deserves clarity, not confusion.
Contact us today at (205) 644-3744 to learn more about how we can assist you.
Great Experience with an Amazing Attorney
We can’t say enough good things about Glenn Mazer. We were dealing with a really stressful situation involving investment fraud, and honestly didn’t know where to turn..
When you work with a broker or financial advisor, you’re not just relying on that individual; you’re also relying on the firm behind them. Brokerage firms are legally obligated to supervise their representatives and protect you from misconduct. If they fail in that duty, and you suffer losses as a result, the firm may be held responsible under U.S. securities law. You have the right to expect that someone is paying attention and taking action when things go wrong.
Brokerage firms are required to establish and maintain systems to supervise the activities of their representatives. This includes monitoring transactions, ensuring compliance with regulations, and addressing any signs of misconduct. When a firm neglects this duty, it can be held liable for any resulting harm to investors.
If you suspect that your brokerage firm failed to supervise its agents adequately, it’s crucial to gather evidence and seek legal counsel to explore your options for recovery.
FINRA plays a pivotal role in overseeing brokerage firms and ensuring they adhere to industry standards. Under FINRA Rule 3110, firms must establish and maintain a system to supervise the activities of each associated person to achieve compliance with applicable securities laws and regulations.
If a firm fails to meet these obligations, FINRA can take disciplinary actions, and investors may have grounds for claims against the firm.
If you’ve experienced financial losses due to a brokerage firm’s failure to supervise its agents, you have several legal avenues to pursue recovery.
Consulting with a legal professional experienced in securities law can help you determine the best course of action based on your specific situation.
Our Securities and Investment Fraud Lawyers at Mazer Law Firm PC are committed to fighting for your rights, and we do it on a No Win, No Fee basis. If we don’t win your case, you don’t pay. We can help you investigate the firm’s role in your losses, identify failures in supervision, and hold the responsible parties legally accountable. You deserve a financial system that protects you, not one that turns a blind eye.
Schedule a free consultation with one of our attorneys today by calling our office at (205) 644-3744.
I recently had a legal matter.i was fortunate to have the Mazer Law Firm on my side. He is very professional and quick to get satisfying result. I would recommend this Law Firm to anyone who is seeking justice. He was…
For many older adults, their savings represent decades of hard work and careful planning. When predators exploit that, the emotional toll can be just as severe as the financial loss. If your loved one has shown signs of sudden withdrawals, confusion about their accounts, or has become unusually secretive about money, those may not be random occurrences. They could be signs of exploitation, and action may be necessary.
There are important legal protections in place that aim to combat this growing problem. The Senior Safe Act, a federal law, encourages financial institutions and advisors to report suspected elder abuse by offering them legal immunity when they act in good faith. This means that banks, brokers, and advisors are not only allowed, but encouraged, to step in and speak up when something doesn’t look right.
FINRA, the regulatory body that oversees broker-dealers, has also adopted rules designed to strengthen protections. FINRA Rule 2165 allows firms to place a temporary hold on disbursements from accounts if they suspect financial exploitation of a senior. This pause can give time for further review before assets are lost for good. In addition, FINRA Rule 4512 requires firms to make reasonable efforts to obtain the name of a trusted contact person. The trusted contact person can be someone who can be reached if suspicious activity is detected and the account holder cannot be reached or is showing signs of confusion.
These legal tools exist to make it harder for predators to drain life savings and walk away unchallenged. But they only work when the abuse is spotted and acted on quickly.
Once you suspect that a senior has been targeted, time is critical. Delaying action gives abusers more room to move funds, destroy records, and disappear. Legal steps can include freezing accounts, initiating arbitration or litigation, and filing claims against advisors or firms who failed to act responsibly. It’s not only about recovering money, it’s about creating accountability and preventing future abuse.
If your elderly parent, grandparent, or relative has suffered financial loss due to exploitation, the team at Mazer Law Firm PC is here to help. We can investigate red flags, pursue recovery, and help establish safeguards to protect against future harm. Your loved one deserves safety, dignity, and peace of mind.
Call us today at (205) 644-3744 to talk about how we can help.
Your consultation is with the actual lawyer who will handle your case
Glenn Mazer helped me through the Probate process when my husband passed away. He is honest, persistent, professional, very knowledgeable and focused. He guided me through one of the most difficult processes a person can go through. He always…
You’ve put years of work into building a secure future, only to watch it crumble because someone you trusted acted in bad faith. That’s more than a financial setback; it’s a breach of your trust and a threat to your well-earned stability.
At Mazer Law Firm PC, we believe you shouldn’t have to take on more risk just to get justice. That’s why we work on a No Win, No Fee contingency basis. If we don’t recover compensation on your behalf, you don’t pay us a dime.
Experienced Securities and Investment Fraud Attorney Glenn Mazer understands how these schemes unfold, from the trading floor to the boardroom. That depth of insight matters when you’re up against firms and individuals who often hire top-tier counsel. The playing field isn’t level without someone who knows the terrain.
Our promise is honesty. We’ll look at your situation and tell it like it is. What follows is a practical plan rooted in clear-eyed evaluation, motivated by your best interests, not ours.
Every day that goes by, pieces of evidence vanish. Statements disappear. Emails get purged. Acting now means capturing the facts before they’re gone. That’s why having someone on your side from the start can make the difference in recovering what you’ve lost.
Let’s help you take back control and hold those responsible to account. Contact Mazer Law Firm PC today at (205) 644-3744 for an honest conversation, no pressure, no commitment. Just a clear path toward justice and recovery for your future.
Your consultation is with the actual lawyer who will handle your case
