Investors who have lost money due to broker neglect, mismanagement or fraud have opportunities available to recover their losses. Meaney & Meaney’s securities law team offers extensive experience and industry knowledge to maximize recovery through FINRA (Financial Industry Regulatory Authority) arbitration and mediation as well as litigation in state and federal courts.
If you feel your losses are due to activities beyond market forces, you may have a claim against the broker(s) and or the brokerage firm and its principals. Signs that may indicate wrongdoing include:
High-pressure sales tactics
Risky or unsuitable recommendations
Guarantees or promises of unrealistic performance or returns
Excessive trading or churning for commissions
Omissions and misrepresentations
Overconcentration and lack of portfolio diversification
Excessive use of margin
Failure to execute or follow instructions
Investing in the stock market involves a certain degree of risk. If, however, you have concerns about the broker(s) or brokerage firm you invested with, contact us. We will perform a free analysis to determine whether violations of FINRA rules or SEC laws caused your investment losses and advise you how best to pursue your claim.
You may reach us at 631-427-2900 to discuss your claim.