A broker or brokerage that handles an investment account is bound by the contractual terms governing that account, federal and state securities laws, the rules promulgated by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Often, if an investment sounds too good to be true, it is. Best practice is to speak with a qualified securities litigation attorney to review your portfolio and determine if their recommendations comply with applicable laws and regulations.
Attorney Matthew Wolper
Matt Wolper is a trial lawyer who focuses exclusively on securities litigation and arbitration. Mr. Wolper has handled hundreds of securities matters nationwide before the Financial Industry Regulatory Authority (FINRA), American Arbitration Association (“AAA”), JAMS, and in state and federal court. Mr. Wolper has handled and tried cases involving complex financial products and strategies ranging from traditional stocks and bonds to options, margin and other securities-based lending products, closed/open-end mutual funds, structured products, hedge funds, and penny stocks.
[Attorney Bio]