If you lost money because of a financial advisor’s recommendations, you may be able to bring a claim against the advisor, the brokerage firm, or another financial institution responsible for the losses.
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You may have a claim when a financial advisor’s misconduct, unsuitable recommendations, or misleading statements caused you to lose money. Common issues can include:
The specific legal claims depend on what happened, but the central question is usually whether the financial advisor or firm violated a duty owed to you and caused your investment losses. Important evidence can include account statements, investment recommendations, emails, text messages, risk-tolerance information, disclosure documents, and records showing what the advisor told you about the investment.
Depending on the facts, a claim may involve more than the individual financial advisor. The brokerage firm, investment advisory firm, insurance company, bank-affiliated investment program, or other financial institution may also be responsible for the conduct that caused your losses.
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 against financial advisors and brokerage firms are resolved through FINRA arbitration rather than a traditional court case. Other claims may involve state-court litigation, insurance-related claims, or disputes involving investment advisory firms, depending on who sold the investment and how the account was handled.
If you lost money because of a financial advisor’s recommendations, Mazer Law Firm can review what happened, the investments involved, what you were told, and whether the advisor or financial institution may be responsible. Speak directly with Attorney Glenn Mazer about your situation.
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