How Can You As An Investor Prepare For Your Broker Fraud Case?
There Are Steps You Can Take To File a Solid FINRA Lawsuits
At Shepherd Smith Edwards and Kantas, our FINRA Law Firm (investorlawyers.com) helps investors of all levels of experience and all levels of net worth in pursuing damages from broker-dealers and investment advisers. Suing your financial advisor for financial recovery is not something you should do without a trusted securities law firm by your side.
Assessing the cause of your portfolio losses can be hard unless you have an experienced broker misconduct attorney that knows how to properly evaluate what happened. This is why the more prepared you are when exploring your legal options, and whether you have grounds for a securities claim, the better:
- Gather any pertinent records about your investment account, including account statements and written communications with your financial advisor.
- DO NOT directly try to address any investment recovery-related losses with your broker-dealer. Hold off on sending them a complaint letter, which could be used against you later on.
- Contact one of our knowledgeable broker misconduct lawyers who can help you assess whether you have grounds for a case. Remember that not all portfolio losses entitle you to damages.
Why You Would Pursue Your Broker Misconduct Case in FINRA Arbitration
A broker-dealer usually will have asked you to sign a predispute arbitration clause when you agreed to work together. FINRA arbitration is the legal forum where disputes between brokers and their customers are filed.
This is not the same as going to court. Our FINRA Law Firm has years of experience representing investors in arbitration, mediation, and litigation. We understand the different strategies needed to maximize your chances for a full financial recovery in each venue.
The stages of FINRA arbitration:
- The Claimant files their case.
- The Respondent turns in their answers.
- Arbitrators are chosen by the parties.
- A prehearing conference takes place.
- Discovery is exchanged.
- Hearings take place.
- Arbitrators deliberate on whether to grant an award to the respondent.
FINRA arbitration rulings are usually final, which is one more reason you want experienced securities attorneys representing you.
The Shepherd Smith Edwards and Kantas FINRA Law Firm has the knowledge, skills, and resources to take on even the most complex claims against broker-dealers and investment advisers. We have helped investors with more than 1000 matters.
Over the years, we have helped thousands to collectively recoup many millions of dollars from their financial advisors, who should have been protecting their assets rather than being negligent with their portfolios.
We know how stressful this process can be, which is why we make sure to provide personalized attention to each client that we work with. To find out what it is like working with our securities firm, read our client reviews.
Contact Our FINRA Law Firm Today
Call our FINRA Law Firm at (800) 259-9010 or fill out this form. Because we work on a contingency basis, if we agree to work together, you would only ever pay for our fees if we were able to secure your financial recovery. That is where the funds would come from, rather than directly out of your own pocket.