Investor Lawyer

Has Your Financial Portfolio Lost a Lot of Money?

Get Help from a Knowledgeable Investment

If you have lost a significant amount of money in your investment portfolio, you are probably shocked, confused and unsure of whether you can do anything about it. While most investors realize that investing in stocks, mutual funds, bonds, and other financial assets involves some risk, you are probably wondering how such large losses could have happened to you, especially when you trusted your broker or advisor to carefully manage your money in line with your risk tolerance, your goals, and your needs. Unfortunately, however, it is not unusual for unethical or negligent brokers, brokerage firms and financial advisors to cost their clients’ money. When it has happened to you, our skillful investor lawyers can advise you about potential options for recovery.

Reach Out for Experienced Guidance

If you believe your financial advisor or broker was to blame for your investment losses, Wolper Law Firm will work hard to hold that party legally accountable. Call our law firm at 800.931.8452 to arrange a free consultation.

Our Financial Investment Lawyers Protect Investors’ Rights. We Will Not Back Down in Standing Up for You.

What Does an Investor Lawyer Do?

As an investor lawyer, our attorneys focus in getting financial recovery for people who suffer investment losses because of their brokers, brokerage firms or advisors. Brokers and investment advisors have a fiduciary duty to put their clients’ interests before their own. When they do not, they may be held accountable when investors lose the retirement money or other investments that they worked so hard to earn.

Our investor lawyer has practiced in securities litigation for nearly two decades. Prior to establishing Wolper Law Firm to exclusively help investors, Matt Wolper defended the brokerage houses and brokers that they now take on in arbitration and the courts. Our attorneys’ comprehensive perspective into how the financial services and securities industry operates has led to a recovery rate of greater than 95 percent for investor clients. When we take your case, you can count on our law firm to provide honest guidance and effective representation. We handle cases nationwide and internationally.

How Do You Hold Unscrupulous Brokers and Advisors Accountable?

Following are options for how we may hold your broker or advisor accountable for your investment losses. What is the right path for you will depend on your individual case.


The majority of cases we handle are resolved through arbitration before the Financial Industry Regulatory Authority (FINRA). FINRA is an organization that establishes conduct for investment professionals and oversees negligence and misconduct by them. Cases that go before FINRA are heard by either one or three independent arbitrators. The number of arbitrators is based upon the amount of money that was lost in an investment.

Arbitration is similar to going to court in that you and the other side will both have the opportunity to present your evidence and arguments to the arbitration panel. Once arbitrators have heard your case, they will either decide in your favor or not. If the claim goes in your favor, you will receive an award for some or all your investment losses and potentially money for dividends and interest, punitive damages, legal fees, claim filing fees and other costs, depending upon all the circumstances. The broker, brokerage firm or financial advisor will be ordered to pay you within 30 days.

Arbitration is binding, which means the arbitrators’ decision cannot be appealed, although there are some very limited situations in which the courts may hear appeals to FINRA arbitration decisions.


Another possible option for resolving your dispute with your broker or advisor is mediation through FINRA. Mediation is when a neutral mediator works with both sides and their attorneys to try and reach a settlement. Mediation is less formal and potentially less contentious than arbitration or going to court, but it is voluntary through FINRA, so both parties must agree to try it. If mediation is not successful, then you can proceed to arbitration.


Many investors sign binding arbitration agreements when they choose an investment firm, which means they must go to arbitration in case of dispute. But if you have not signed such an agreement, you may wish to file a lawsuit with the court to try and recoup your money. The advantage of a lawsuit is that if the decision does not go in your favor, you may be able to appeal it. The disadvantage is that court trials typically take much longer to resolve than arbitration. You could wait years before potentially getting an award.

Our Financial Investment Lawyers Achieve Positive Outcomes

Whether your case goes to arbitration, to mediation or to court, you stand the best chance of getting a recovery when you have the help of an attorney who is well-versed in resolving investment fraud and negligence cases for investors. At Wolper Law Firm, we are proud of our track record of success in helping innocent people get their money back from corrupt and careless brokers and advisors. Reach out to us today by dialing 800.931.8452 to schedule a free, no-obligation consultation. Once we learn the details of your matter, including the type of fraud or negligence that occurred, and we take on your case, we will closely guide you throughout the steps to resolving it.

Answers to Frequently Asked Questions

Contact a Financial Investment Attorney for Specific Concerns

Following are general answers to common questions we get. For answers to your specific questions, contact us to speak with a financial investment attorney by calling 800.931.8452.  [10:01 AM] Sherry Hale At the very bottom of this page https://www.wolperlawfirm.com/broker-fraud-lawyer/california/ there is a typo California Stockbroker Fraud Lawyer | CA Stockbroker Fraud Attorney An experienced California stockbroker fraud lawyer at your side is essential to recover your losses. Call our CA stockbroker fraud attorneys. .

If you see large and unexpected losses in your accounts, especially if you do not have high-risk investments, you may be a victim. Here are some other signs to look for:

  • Trades you did not authorize on your account statements
  • Unauthorized withdrawals from your account
  • Excessive transactions you don’t recognize
  • A steady decline in your investment account over time.

If you notice any of these things and your broker cannot adequately explain the issue, they may be attempting to defraud you — or they may have already done so. If they are trying to pressure you into an investment, it may be a sign they are not an honest broker. If you receive unsolicited investment offers, do not fall for them. Our investor lawyers can help you determine whether fraud or negligence by a broker or advisor has cost you your retirement or other investment money.

You have six years from the date that the investment fraud occurred to initiate a claim for FINRA arbitration. There are various statutes of limitations under federal and state securities laws for filing lawsuits. Once we understand all the intricacies and complexities of your case, we will determine what laws and associated deadlines may apply to your situation. In any event, it is smart to speak to an attorney about your options as soon as you suspect that investment fraud or negligence has taken place.

No. You do not have to hire a lawyer to go to FINRA arbitration. You are allowed to represent yourself. You can begin the process by filing a claim for arbitration at the FINRA website. However, keep in mind that there is no appeals process through FINRA arbitration if the decision does not go in your favor, which is why it makes sense to have a skilled attorney helping you. Our experienced investor lawyers have in-depth understanding of how the claim process works, the defenses that brokers often use, and the evidence needed to prove fraud or negligence. We will put this knowledge to work to benefit your case.

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Investors who do are not as educated about investing and who do not regularly review account statements are more likely to be targeted than sophisticated investors. Elderly investors are often targeted as well. Many senior citizens have retirement funds, savings and other assets that can make them attractive to unscrupulous people. They may fall victim to greedy professional brokers and financial advisors, or even to family members and other nonprofessionals seeking to defraud.

Bringing an arbitration claim or a civil lawsuit will not result in jail time for your advisor or broker. But in some cases, brokers and advisors who commit investment fraud may also face criminal prosecution and criminal penalties if they are convicted. Penalties may include jail time or imprisonment and hefty fines. Brokers who commit fraud or are negligent may also lose their licenses and certifications to work in the securities industry or have these professional credentials suspended.

Five Common Types of Investment Fraud

There are many different ways that clever and unethical brokers and investment advisors commit fraud to line their own pockets. Here are some of the most frequent:

  • Unsuitable investments – When brokers recommend investments that are not suited to an individual’s objectives or risk tolerance, it may indicate fraud.
  • Misrepresentation – Misrepresentation is when a broker or advisor places a client in a complex, high-risk investment and does not honestly represent the risks.
  • Excessive trading – Also called churning, excessive trading is when a stockbroker over-trades in an investor’s account in order to generate commissions.
  • Unauthorized trading – When brokers make trades in non-discretionary accounts without the authorization of account holders, they may be guilty of unauthorized trading.
  • Embezzlement – Embezzlement is when brokers blatantly steal from their customers’ accounts.

These are just a few of several schemes dishonest brokers and advisors may use to cheat investors. In addition to intentional fraud, advisors and brokers may be held responsible for negligence in handling investment portfolios that incur large losses. This may happen due to ineptness or laziness in diversifying client portfolios in order to minimize risk or due to other carelessness in looking out for their customers’ investment needs and objectives.

We Are Committed to Getting Maximum Compensation for Victims of Investment Fraud and Negligence. Don’t Delay in Contacting Our Investor Attorneys When You Have Lost Money.

At Wolper Law Firm, our case results exemplify our commitment to our investor clients. We want to see you get your money back if you have been defrauded by a stockbroker or were the victim of negligence. Reach out today.

Check Out Brokers Before You Invest

You can take a step toward protecting your investment money by knowing who you are dealing with. FINRA and the U.S. Securities & Exchange Commission both have free online databases that contain information about broker licensing and certifications and whether they have had disciplinary actions or FINRA proceedings or civil actions against them. You can also check with your state’s securities regulators. The following are the links:

If you believe your broker or financial advisor has committed fraud or lost your investment through their negligence, reach out for help from a lawyer for investments.

Contact Our Lawyers for Investments for Assistance

If you have experienced investment fraud or negligence, Wolper Law Firm may be able to help you recover your investment losses. We make it our business to help innocent investors who have had their trust violated by brokers and other investment professionals. Our investor lawyers will work hard to help you get compensation through FINRA arbitration or a legal claim. You do not have to take on your brokerage firm and broker alone. We have helped many people get financial recoveries from bad actors in the securities industry.

Once our well-qualified lawyers review all the details of your case, we will advise you about your options for pursuing a legal remedy. Call us at 800.931.8452 to schedule a free case evaluation. We deliver personalized legal services to clients throughout the country and internationally who have been wronged by stockbrokers, financial advisors, and other parties in the securities industry.

Attorney Matthew Wolper

Attorney Matthew WolperMatt 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]