Securities Fraud and Investment Losses
Customer Claims against Brokers and Brokerages

Securities trading and investment strategy is a complex field of finance requiring the skill of ethical and trusted advisors. Unfortunately, investors often find that the trust that they had in their financial advisor and brokerage firm was misplaced, and along the way they have lost substantial funds.

We know that your investments matter. They are designed to preserve, protect and increase the worth of your earnings, savings, and retirement plans, the loss of which can be devastating. Helping you recover funds from financial institutions that have mishandled you and your investments is our priority. Allow us to utilize our extensive understanding of the financial industry and years of experience representing those who have suffered financial loss at the hands of financial institutions or advisors. We regularly represent clients as they pursue recoveries for their losses through the Financial Industry Regulatory Authority (“FINRA”) arbitration process, mediations, as well as state and federal courts.

The law governing financial advisors and brokerages requires that they approach transactions and communicate with customers honestly and that they make meaningful disclosures about recommended securities acquisitions and sales, and portfolio composition. Additionally, FINRA (formerly known as the National Association of Securities Dealers) requires that every financial advisor “know their customer” so that they guide customers to invest thoughtfully, appropriately, and in their best interest based upon their wealth, age, health, true risk tolerance, and understanding of the markets, rather than with the objective of generating sales and “action” within accounts that ignores those standards resulting in loss and lost opportunity.

Unfortunately, it is increasingly common for investors to encounter financial advisors who invest their customers’ money unsuitably. They place customer funds at unnecessary risk by inattention, over-concentration of funds in isolated asset classes when diversification is required, they ignore customer risk tolerances, fail to explain asset risk, margin risk, or options trading risk, or they invest customer funds unsuitably based upon the age and ability of their customers to absorb and survive market fluctuation and loss.

Very few firms in the United States have the experience and sophistication to pursue claims against financial advisors and brokerages. We do. We are Members of PIABA, the Public Investors Arbitration Bar Association, which is dedicated to the fair resolution of securities claims governed by the Financial Institution Regulatory Authority (FINRA). We are one of the only firms in Maryland that regularly represents victims of securities negligence and/or fraud, and we have recovered many millions of dollars for our clients in these cases. Under almost all circumstances, are resolved by Panels of FINRA approved arbitrators under FINRA Rules and procedures.

These cases require attorney expertise in both litigation and finance, and we have it. Daniel Miller, Esq., who is “of counsel” to the firm, was a stockbroker before he became a lawyer, and passed his Series 7, 31, 24, 63, 65, and Rule 144, Life and Health, and INHO Examinations. Marc Rosen, who was a bank director for 25 years, likewise understands finance, and he, Kristofer Cubello, and Catherine Wilhoit have successfully arbitrated and settled many substantial securities cases.

If you or a relative or friend have experienced serious financial harm because of a perceived wrongful act by a financial advisor or brokerage, and you want to schedule a free consultation with an experienced attorney, please call 410-244-1155 or email lawyers@triallaw.com. We are willing to represent clients who have these cases on a contingency basis, and we advance all litigation costs.

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