The specific facts of your situation will dictate whether you have a valid claim. If you chose the investments on your own, then you likely do not...

You may have a valid claim against the brokerage firm for which the advisor worked. The advisory firm had a legal obligation to perform adequate...

Financial Adviser takes advantage of senior citizen in selling $40,000 in business development center investments

Based on the information you provided, your mother likely has a claim based on unsuitable investment recommendations. The strength of the case...

Can we get a letter written to our previous brokerage firm to ask for an internal review of our account while it was with them?

Yes, you absolutely have the write to request an interval review. Be aware, however, that if a brokerage firm does identify broker misconduct it...

When does an arbitrator's ruling become a formal order (law)?

Typically an arbitration award must be confirmed by a court. The court also must issue a judgment relating to the arbitration award. The judgment...

Ideally you would hire a lawyer focuses their law practice on investment fraud and broker misconduct cases. If the individual works for a FINRA...

How are leveraged etn products such as velocityshares uwti freely marketed and sold to unsophisticated investors?

Many brokers do not understand leveraged ETNs and leveraged ETFs. As a result, they cannot and do not properly explain their risks to investors. ...

Can an investor demand a return of their investment if the believe fiduciary responsibility has been breached?

As a general matter, demanding the return of invested principal (or rescission) is one of the damage theories that can be pursued if a financial...

Who do I see for mismanagement of investment securities. Not sure which specific lawyer to see.

You should speak with a lawyer who is well versed in stockbroker misconduct and investment fraud disputes. Many qualified lawyers in that area of...

I invested in a CDO and want to sue the person who sold me the deal.

Before determine whom to sue and where, an examination needs to be performed regarding whether any valid claims exist. For example, were...