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Do I have a claim against a securities broker or financial professional for negligence or fraud?

Posted by attorney Joel Ewusiak

You may ask whether you have a claim against your broker or financial professional in connection with the sale or purchase of an investment. Although each case is unique, here are the top-4 issues to consider:

Additional resources provided by the author

Most securities and investment claims are resolved in arbitration, rather than in a court of law. Review your account opening paperwork for dispute resolution procedures. Most likely, you’ll be required to pursue your claim in arbitration. If so, most arbitration forums, such as FINRA, provide easy access to the arbitration rules.

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