Posted by on Nov 6, 2013 in | 0 comments

The Firm represents individuals with claims invoking fraud in their brokerage or bank accounts.  These claims are generally resolved through arbitration, and involve situations where brokers recommend unsuitable or inappropriate securities or trade without authorization.

They can also include claims involving ponzi schemes, tainted research, and all other forms of inappropriate investment advice or actions.  The Firm also represents individuals in civil regulatory investigations brought by the SEC and FINRA.