You may be able to recover investment losses caused by unsuitable recommendations, excessive risk, misleading advice, or brokerage firm misconduct.
Former Broker & Investment Adviser. Now Representing Investors.
Speak Directly With Attorney Glenn Mazer
Investment losses can result from many different forms of financial advisor or brokerage firm misconduct. Some of the most common problems include:
Financial advisors and brokerage firms have duties to recommend investments that are appropriate for their customers, disclose important risks and conflicts, and properly supervise the people who give investment advice. When those duties are violated and an investor suffers losses, the investor may have a claim to recover those losses.
If you believe your investment losses may have resulted from bad advice or broker misconduct, take steps to preserve the information that may be important to your claim.
Mazer Law Firm can review your investment records and help determine whether broker misconduct or brokerage-firm supervision failures may have contributed to your losses.
Many investment-loss claims are brought through FINRA arbitration against the financial advisor, brokerage firm, or both. Depending on the facts, claims may involve unsuitable recommendations, misrepresentations, excessive trading, failure to supervise, breach of fiduciary duty, or other misconduct. In some situations, claims may also be pursued in state or federal court.
The right path depends on how the investment was sold, who recommended it, the agreements governing the account, and the deadlines that apply. A careful review of the account records and communications is often the first step in determining whether a recoverable claim exists.
Mazer Law Firm focuses on representing investors who have suffered losses because of financial advisor misconduct, unsuitable recommendations, excessive risk, misleading investment advice, and failures by brokerage firms to supervise their representatives. Attorney Glenn Mazer brings the perspective of a former broker and investment adviser to the evaluation of investment-loss claims
If you lost money after relying on a financial advisor or brokerage firm, Mazer Law Firm can review what happened and help determine whether you may have a claim to recover your losses. Speak directly with Attorney Glenn Mazer about your situation.
No Fee Unless We Recover for You.