Investment Loss Law Firm

Are You Wondering Whether You Received Poor Investing Advice From Your Broker? 

You May Be Able To File a Broker Negligence Claim If You Ended Up Suffering Significant Investor Losses

Even if your broker never intended for you to lose money, if that is what happened because they gave you poor investment advice, then you may be able to sue your financial adviser and their brokerage firm for damages. Granted, no one is perfect, and mistakes can happen despite someone having the best of intentions. And, there are plenty of times when a broker makes an investment recommendation that ends up going badly and it is not their fault.

However, for example, even if market volatility or a financial product failure led to you suffering serious financial losses, if your stockbroker advised you to get involved in too many risky investments so that you were harder hit by the turbulence than you could have been otherwise, this might be considered broker negligence and grounds for a claim.

Examples of Other Potential Acts of Financial Advisor Negligence: 

• Failing to make sure an investment is suitable for the customer given their financial profile, risk tolerance level, and investing goals.
• Disregarding key market indicators.
• Failing to conduct the necessary due diligence, including not bothering to read the investment prospectus or ignoring red flags.
• Having a poor understanding of the investment or strategy that they’ve recommended to a customer.

If significant investment losses result from such actions, you may be able to file a broker-dealer lawsuit. Brokerage firms have a duty to properly supervise their financial advisors and they can be held liable for their registered representatives’ mistakes especially if they could have been avoided were it not for their carelessness, inexperience, or ignorance.

What Should You Do If You Think You Are The Victim of Financial Advisor Negligence?

If you suspect that your investment losses could have been avoided, please contact Shepherd Smith Edwards and Kantas (investorlawyers.com) today. During your free, no-obligation case assessment, we can help you determine whether or not you should sue your broker.

 

If you do have a valid securities case, and we decide to work together, our savvy broker negligence lawyers will thoroughly investigate your portfolio losses, prepare and file your statement of claim, and represent you before opposing counsel in FINRA arbitration. This forum is where such disputes between brokerage firms and customers are submitted.

Because the arbitration panel’s ruling, including any award, is considered final with very little, if any, chance for appeal, you want seasoned broker-dealer negligence lawyers working on your claim from the start.

Why You Want Our Investment Loss Law Firm Representing You

With over 30 years exclusively representing investors against brokers and investment advisors, our team of broker misconduct attorneys, legal assistants, consultants, and others have the knowledge, skills, and resources to represent clients in all kinds of securities claims. We have helped thousands, including retail investors, retirees, senior investors, high-net-worth individual investors, and institutional investors in pursuing damages through arbitration, mediation, and litigation. With our help, more than 90% of those we have worked with have received full or partial financial recovery.

To get started, call the SSEK Investment Loss Law Firm at (800) 259-9010 today or contact us online so that we can help you explore your legal options.