Investment related misconduct comes in many forms.  It can be out in the open and flagrant but most often it is concealed and subtle.  The hallmark signs of investment misconduct are: Sudden, precipitous drops in the value of your portfolio, particularly when not in tandem with the overall financial markets Your financial advisor is recommending […]

In the event you have realized investment losses due to broker misconduct, chances are that you are required to pursue your claims in arbitration before the Financial Industry Regulatory Authority (FINRA).  In a more limited number of circumstances, if no arbitration agreement exists between you and your brokerage firm, you may be able to pursue […]

Often times, investors assume that because investments inherently carry a degree of risk, that you are precluded from seeking to recover investment losses.  This is incorrect.  While normal market fluctuations should be expected and are not actionable, they manner in which your portfolio is positioned IS actionable. The securities laws, both at the state and […]