Your brokerage firm or financial advisor is supposed to place your interests first. Unfortunately, as countless investors can attest to, many brokers do not uphold that responsibility. Instead, they often fail to disclose material risks to investors, suggest inappropriate investments, or otherwise make moves that will financially benefit themselves before their clients.
The result of these behaviors, unfortunately, is the loss of all or part of your investment. Negligence and stock broker fraud puts your financial security at risk.
But there is good news: The experienced attorneys at Wolper Law Firm can help you recover your investment losses.
Misconduct and fraud in the financial industry is common. In 2019, according to FINRA, brokerage firms and financial professionals were fined more than $39.5 million and ordered to pay over $27.9 million in restitution.
Additionally, 348 individuals were barred from practice and another 415 suspended. The aggregate effect of broker and advisor misconduct results in billions of dollars of investor losses every year.
It can be difficult to determine whether you’re a victim of investment or securities fraud until you speak with an attorney at our investment recovery law firm, but there are some telltale signs of investment fraud:
The Wolper Law Firm puts those on Main Street and those on Wall Street on even ground. We bring a focused and trial-tested approach to each stock broker fraud, investment loss, elder financial abuse, and negligence case designed to identify and expose misconduct and hold brokerage firms and financial advisors accountable for clients’ investment losses.
START YOUR FREE CONSULTATIONThe financial industry is subject to countless laws and regulations. For the average investor, keeping up with all of these rules—and understanding when a stock broker has violated them and caused financial harm—is overwhelming.
You may suspect that your brokerage firm or broker acted inappropriately or negligently, and that this behavior resulted in financial losses. But how do you prove it? Any complaint or lawsuit will put you up against teams of Wall Street lawyers whose sole purpose is to avoid liability for claims like yours.
Our firm’s founder, Matthew Wolper, spent many years representing the largest Wall Street banks and brokerage firms in high-value securities cases. That gave him an unrivaled understanding of how the securities industry evaluates these claims. The Wolper Law Firm puts this unique knowledge, combined with an aggressive litigation style, behind each client’s case. That’s how we fight and win for you.
To learn more about how the Wolper Law Firm can help you pursue a claim to recover your investment losses, call 800-931-8452 to schedule a free consultation today. We represent clients across the country, including but not limited to Miami, Tampa, Orlando, Houston, Dallas, Washington, DC, Boston, Phoenix, Salt Lake City, New York, Los Angeles, Chicago, Philadelphia, and San Francisco.
We are experienced trial attorneys who hold brokerage firms, banks, and financial advisors responsible for negligent or fraudulent investment advice. We fight hard to recover clients’ investment and stock losses in all forums, including state and federal courts and arbitration proceedings before the Financial Industry Regulatory Authority (FINRA), American Arbitration Association (AAA), National Futures Association (NFA), and JAMS.
Whether you suffered stock losses, caught your broker making unauthorized trades, were sold an inappropriate investment, or suffered from broker fraud in any way, our firm can help you right the wrong you’ve experienced.
As an investor in the United States, you’re protected by a number of laws. Unfortunately, negligent or greedy stock brokers and brokerage firms often break these laws. That results in serious losses for investors like you.
The acts and laws described below are pieces of landmark legislation comprising countless rules and regulations. A breach of any of these rules that results in financial harm to an investor may be grounds for legal action. An investment loss attorney at Wolper Law Firm is here to help you take that legal action.
The Financial Industry Regulatory Authority, or “FINRA,” is a regulatory body that oversees registered brokerage firms and Financial Advisors. FINRA has implemented myriad conduct rules and regulations relating to sales practices and supervision. These conduct rules require, among other things, that brokerage firms and Financial Advisors recommend suitable and appropriate investments that are consistent with an investor’s needs, investment objectives and risk profile.
Investor disputes arise in all types of investment products, across all sectors of the economy. There is no way to definitively say that a certain type of product or investment is unsuitable.
Financial professionals have a fiduciary duty requiring they invest a client’s money in the client’s best interest, regardless of the type of asset involved or the risk associated with that type of product.
A few examples of commonly disputed investments are as follows:
The Wolper Law Firm represents aggrieved investors in claims to recover their investment losses. For investors who are not sure whether they have been the victim of financial fraud or financial advisor misconduct, or those wondering whether they have a claim, we assembled a list of frequently asked questions.
While these FAQs provide a good starting point for investors looking to learn more about their rights, we encourage investors to reach out to an investment loss attorney with the Wolper Law Firm to schedule a free consultation.
1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: (800) 931-8452
(954)-406-1231
We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis
We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis