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When Can I Sue for Investment Losses?

Suffering losses on the stock market or in any investment is not uncommon. But these losses should occur due to market volatility, not because your stockbroker or financial advisor wronged you in some way. When this happens, you can reach out to a qualified investment loss lawyer to discuss your legal options.

Below, we go into further detail about when you might be able to sue for stockbroker misconduct or negligence, and how you can go about initiating an arbitration complaint with the Financial Industry Regulatory Authority (FINRA).

Stockbroker Misconduct and Negligence

Unfortunately, there are many different ways in which your financial advisor could have taken advantage of you. Some of the most common include:

  • Churning
  • Selling away
  • Unauthorized trading
  • Lack of portfolio diversification
  • Failure to supervise
  • Breach of fiduciary duty
  • Ponzi schemes
  • Unsuitable recommendations

These are just a few of the most common ways in which stockbrokers engage in misconduct or are negligent. Speak with your investment loss lawyer to learn more about what options may be available to you after suffering a considerable investment loss. 

How the FINRA Arbitration Process Works

FINRA arbitration is similar to court. Both parties will have the opportunity to present their case before the panel of arbitrators, and then refute the claims of the other. Evidence will be presented to support both parties’ case, and then the arbitrators will retire to review the evidence and deliberate. 

If the arbitrators determine your financial advisor wronged you, they may order the broker compensate you for the losses you suffered as a result of their misconduct or negligence. 

Meet with a FINRA Arbitration Lawyer

When you are ready to move forward with your FINRA arbitration complaint but aren’t sure where to turn, contact a committed FINRA arbitration lawyer at Wolper Law Firm. You can give the office a call at 800-931-8452 or complete the quick contact form included at the bottom of this page to schedule your no-cost, confidential case review. 

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