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What Kinds of Investment Losses Can Be Recovered?

Investors lose money on the stock market and through poor investments every day. But when these losses are caused by the negligent or gross misconduct of your stockbroker, filing a FINRA arbitration claim may be the best way to get your money back. Continue reading to learn more about the most common types of investment and stock losses that can be recovered if you choose to pursue such a claim.

Unsuitable Investments

Unsuitable investments are those that do not align with the investor’s objectives and goals as discussed in their investment portfolio. For example, if an elderly woman obtained a life insurance settlement after her husband passed away and her broker then took her money and invested it without her approval in an annuity or other high-risk investment, this could be a violation of FINRA suitability requirements.

Churning

Also known as excessive trading, churning happens when a stockbroker who has the authority to make transactions without consulting the investor first can generate significant commissions for themselves and their firm when executing excessive, needless, and unsuitable transactions in the investor’s accounts.

Generally, this can be prevented by requiring your broker to discuss any transactions with you and not giving them discretionary authority.

Unauthorized Trading

Unless a stockbroker has been granted discretionary authority, every transaction through your accounts needs to be approved by you before it can go through. However, that doesn’t stop crooked brokers from engaging in unauthorized transactions in the hopes of earning higher commissions for themselves, without regard for how it might impact your investment accounts in the long run.

Get Help from an Investment Loss Attorney

To learn more about whether you have a case against the brokerage firm, stockbroker, or financial planning corporation that wronged you, contact an experienced investment loss lawyer at Wolper Law Firm.

We are proud to provide wronged investors with a complimentary consultation so we can learn more about the individual details of their investment loss cases. To schedule yours, simply submit the secure contact form provided below or call our office at 800-931-8452.

Now is the time to talk to an investment loss recovery lawyer. We can help recover your investment loss. Free consultations, always.

Main Office - Fort Lauderdale

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

Additional Office Locations (by appointment only)

Atlanta

3355 Lenox Road
Suite 7
Atlanta, GA 30326

Indianapolis

13295 N. Illinois St.
Suite 314
Indianapolis, IN 46032

New York City

275 Madison Avenue
Suite 705
New York, NY 10016

Dallas

3102 Maple Ave.
Suite 400
Dallas, TX 75201

Irvine

2600 Michelson Drive
Suite 1700
Irvine, CA 92612

Portland

5933 NE Win Sivers Drive
Suite 205
Portland, OR 97220

Denver

7900 E. Union Ave.
Suite 1100
Denver, CO 80237

Naperville

1700 Park Street
Suite 103
Naperville, IL 60563

Seattle

1001 Fourth Ave.
#3200
Seattle, WA 98154

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