Securities and Investment Fraud Attorneys

If you have suffered damages as a result of fraud, unsuitable or negligent investment advice, the sale of defective investments, self-dealing, theft, or other wrongful conduct, you may have a claim against your stockbroker or investment professional and their firm. Victims of securities and investment fraud may recover their damages through securities arbitration.

Investors have a right to the truth.

Both novice and highly sophisticated investors have a right to to rely upon the investment advice of their stockbroker or investment professional and to believe that investment advice rendered by these professionals is not the product of negligence nor is tainted by financial self interest. The federal securities laws require the full and fair disclosure of all material facts in connection with the sale of securities.

Stockbrokers and the brokerage firms with whom they are associated, have a special duty not only conduct meaningful due diligence with respect to the securities sold by them, but to also to only recommend those securities to investors that are financially capable or suitable to undertake such risks.

However, this is not always the case. Investors are sometimes provided false promises. Sometimes investors make life changing decisions based upon these false promises. The material risks associated with a particular security or a particular investment strategy are sometimes never even partially disclosed. Many stockbrokers and investment professionals do not fully understand many of the complex investment products that they recommend. Instead of being trained about a particular product, and its potential risks, they are only trained or told how to sell a particular product.

Often these recommendations are in the best financial interest of the stockbroker and the brokerage firm and are not necessarily in the best interest of the customer. Brokerage firms have a duty to supervise the activities of their registered representatives, to safeguard customer accounts from most often their own brokers, to prevent theft, fraud, selling away or the sale of unregistered securities or unapproved investments to customers.

Sometimes brokerage firms fail to supervise the activities of their geographically dispersed “independent” branch offices and to also fail to provide any on-site supervision of the registered representatives at these offices. As a result, sometimes customers fall prey to the sale of outside investments, promissory notes, off-shore investments and classic Ponzi schemes.

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at

About Us

Lawyers For Investors

We only represent investors, and have extensive experience in the litigation of securities related claims before FINRA, securities related class litigation and complex litigation, in both state and federal court.  We exclusively work to to recover damages for investors as a result of corporate financial fraud and other misconduct. That is all we do, and that is all we have ever done.

Why Experience Matters

Wall Street hires the best lawyers, so should you. Choosing the right lawyer and choosing the right law firm is very important. Experience counts. Within the last 25 years, we have successfully represented more than 1,000 clients, institutions, pension funds, trusts, and individuals from all walks of life, from celebrities to early retirees, from cosmologists to cosmonauts, from accountants to undertakers, nationally from 38 states, and internationally from many foreign countries.

We work on very large cases and very small cases. What is important to us is your case. Our practice is limited to the litigation of securities related matters. We offer experience, aggressive representation, and deliver the highest work product and quality legal services to our clients. Our reputation is important. That is who we are and that is what we are known for.

Experience–Trial and Litigation skills, backed by subject matter knowledge, litigation experience before FINRA, the discovery process and the Code of Arbitration Procedure.

Aggressive representation–Litigation is seldom a level playing field.  Results are always the product of aggressive advocacy, a dedication to the issues, hard work, impeccable preparedness, and zeal.

Reputation–Honesty and integrity with respect to our clients, intellectual honesty, integrity and respect to the process, opposing counsel and the tribunal.

Contact Us for a Free No Obligation Evaluation of your Claim

If you believe you may have been the victim of securities fraud, the provision of defective investment advice, the sale of defective financial products, or other wrongful conduct by your stockbroker or investment professional, contact us for a free, confidential, no obligation evaluation of your claim.

We offer our services exclusively on a contingent fee basis, meaning you owe us nothing, unless we are able to make a recovery for you.  If you would like us to review the specific facts in your case, contact us or call us directly at (877) SEC-ATTY for a free, no obligation evaluation of your claims.

All inquires are confidential. Attorney Advertisement. Not admitted in all jurisdictions. Certain restrictions may apply. All claims are time senstitive. Communicating with us does not create an attorney-client relationship.

See Important Disclaimer.