Practice Areas

Securities Mismanagement and Fraud

State and federal laws protect investors from negligent, unsuitable, self-serving, fraudulent, or illegal conduct by advisors, financial planners, stockbrokers, trust officers and other financial professionals. Wronged investors have the right to seek damages and restitution for their losses. But the process of recovering your money can be extremely complex and you need an experienced legal team on your side to protect your interests.

Our attorneys have decades of experience and are trained to recognize losses due to improper investment advice and mismanagement. We can advise you about the legal rights that could lead to recovery of your hard-earned assets, retirement funds, and trust accounts.  Many investment firms require investors to sign arbitration agreements and disputes with these firms are typically resolved in a securities arbitration forum rather than in court.  Our attorneys have many years of securities arbitration experience, as well as experience in litigating securities claims in court.  Both in court and in arbitration, we have helped investors recover millions in damages after losing life savings or irreplaceable assets due to faulty investment advice.  Of course, past successes do not guarantee similar results as each case presents different factual and legal circumstances.

We handle individual and institutional investor cases involving a variety of issues including:

  • unsuitable investments;
  • churning or excessive trading;
  • unauthorized trading;
  • fraud;
  • misrepresentations;
  • failure to disclose investment risks;
  • breach of fiduciary duty;
  • "selling away" of unapproved investments;
  • over-concentration;
  • improper execution of instructions;
  • breach of contract;
  • negligence;
  • mismanagement; and
  • conflicts of interest.

We can review your case and recommend appropriate courses of action to recover your losses. If you have lost money on an investment or in a securities, retirement or trust account, we can pursue full recovery plus interest through either arbitration or court. No matter what type of dispute you have, we are committed to being skilled advocates for your case.