If a financial advisor put too much of your money into one stock, investment, sector, or strategy and you suffered substantial losses, the concentration may deserve closer review.
Former Broker & Investment Adviser. Now Representing Investors.
Speak Directly With Attorney Glenn Mazer
Diversification can help reduce the risk that one investment, company, or sector will devastate an entire portfolio. Problems can arise when a financial advisor concentrates too much of a customer’s money in a single investment or strategy. Warning signs can include:
A concentrated portfolio is not automatically improper. But a closer review may be warranted when the concentration exposed you to risks that did not fit your age, financial condition, investment objectives, need for income or liquidity, or tolerance for loss.
Depending on the facts, responsibility may extend beyond the individual financial advisor. The brokerage firm or investment advisory firm may also be responsible if it failed to supervise the recommendations, ignored excessive concentration, or allowed the account to remain exposed to unreasonable risk.
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.
Account statements, position values, trading history, concentration levels, risk disclosures, and supervisory records can help show whether too much of your money was placed in one investment, company, sector, or strategy. Those records can also show whether the brokerage firm should have recognized the concentration and intervened.
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 suffered major losses because a financial advisor concentrated too much of your money in one investment, company, sector, or strategy, Mazer Law Firm can review the account, the recommendations, and whether the advisor or brokerage firm may be responsible. Speak directly with Attorney Glenn Mazer about what happened.
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