Did You Lose Retirement Money Because of a Financial Advisor?

If you lost money in an IRA, 401(k), 403(b), rollover account, or other retirement investment because of a financial advisor’s recommendation, the losses may deserve closer review.

Former Broker & Investment Adviser. Now Representing Investors.

Speak Directly With Attorney Glenn Mazer

How Retirement Account Investment Losses Can Happen

Retirement accounts are often a person’s largest source of long-term savings. When a financial advisor recommends investments that are too risky, too concentrated, illiquid, or otherwise inappropriate for retirement money, the consequences can be devastating. Problems can include:

Excessive risk in an IRA, 401(k), 403(b), or rollover account
Concentrating too much retirement money in one investment or sector
Illiquid investments that cannot easily be sold when money is needed
Unsuitable annuities, REITs, structured products, or private investments
Misrepresentations about safety, income, liquidity, or expected returns
Unnecessary rollovers or investment changes that generate commissions or fees
Failure to consider the investor’s age, retirement timeline, income needs, and risk tolerance

When Retirement Investment Losses Should Be Investigated

Investment losses do not automatically mean a financial advisor did something wrong. But a closer review may be warranted when the investment strategy did not fit your age, retirement timeline, need for income, need for liquidity, investment experience, or tolerance for risk.

Who May Be Responsible for Retirement Investment Losses?

Depending on the facts, responsibility may extend beyond the individual financial advisor. The brokerage firm, investment advisory firm, insurance company, or other financial institution may also be responsible if it failed to supervise the recommendation, ignored warning signs, or allowed unsuitable investments to be placed in a retirement account.

The individual broker or financial advisor
The brokerage firm responsible for supervision
An investment advisory firm involved in the recommendation
An insurance company or agent involved in the sale
Other firms or entities that participated in or supervised the transaction

Why Investors Choose Mazer Law Firm

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

Former broker and investment adviser
Direct access to Attorney Glenn Mazer
Focus on investment-loss and securities cases
Review of brokerage statements, investment records, and advisor communications
Representation in FINRA arbitration and, when appropriate, court proceedings
Free case evaluation

Talk With an Attorney About Your Retirement Investment Losses

If you lost retirement savings because of a financial advisor’s recommendations, Mazer Law Firm can review the investments, what you were told, and whether the advisor or financial institution may be responsible. Speak directly with Attorney Glenn Mazer about what happened.

No Fee Unless We Recover for You.