How Can I Recover Investment Losses From a Broker?

If you lost money because of a broker or financial advisor’s recommendations, you may be able to recover investment losses when the losses resulted from unsuitable advice, misrepresentation, excessive risk, unauthorized trading, overconcentration, or other brokerage misconduct.

Former Broker & Investment Adviser. Now Representing Investors.

Speak Directly With Attorney Glenn Mazer

When Investment Losses May Be Recoverable

Investment losses are not always caused by misconduct. But a claim may exist when a broker or financial advisor recommends investments or strategies that do not fit the investor’s age, financial situation, investment objectives, liquidity needs, or tolerance for risk.

Unsuitable investment recommendations
Misrepresentations or omissions about risk
Overconcentration in one investment, sector, or strategy
Excessive trading or churning
Unauthorized transactions
Illiquid or complex investments that were inappropriate for the investor
Failure to disclose conflicts, commissions, or other important information
Brokerage firm failure to supervise the advisor

How Investors Can Recover Losses From a Broker

Most investment-loss claims against brokers and brokerage firms are pursued through FINRA arbitration, although some disputes may proceed in court or through other legal remedies depending on the parties and the type of investment involved. The recovery process usually begins with reviewing the account, the recommendations, the losses, and the evidence of misconduct.

Review account statements and transaction history
Identify unsuitable recommendations or misleading statements
Determine which broker, advisor, or firm may be responsible
Calculate the investment losses and other recoverable damages
File the appropriate FINRA arbitration claim or lawsuit
Pursue settlement or proceed to a hearing or trial

Who May Be Responsible for Your Investment Losses?

Depending on the facts, responsibility may extend beyond the individual broker or financial advisor. A brokerage firm, investment advisory firm, supervisor, insurance company, bank-affiliated program, or other financial institution may also be responsible for the losses.

The individual broker or financial advisor
The brokerage firm responsible for supervision
An investment advisory firm involved in the recommendation
A branch manager or supervisor
An insurance company or agent
A bank-affiliated investment program
Other firms or individuals involved in the transaction

What Evidence Can Help Recover Investment Losses?

Account statements, trade confirmations, new account forms, emails, text messages, investment disclosures, offering documents, commission records, supervisory communications, and other records can help show what was recommended, what risks were disclosed, and whether the broker or brokerage firm acted improperly.

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 Recovering Investment Losses

If you lost money because of a broker or financial advisor, Mazer Law Firm can review what happened, identify the parties who may be responsible, and determine whether FINRA arbitration or another legal remedy may be available. Speak directly with Attorney Glenn Mazer about your investment losses.

No Fee Unless We Recover for You.