Securities Arbitration

Lost money in the stock market? Investments declining in value every month? Do you think Wall Street is looking out for its own interests at your expense? If so, you may have claims against your broker and brokerage firm. You are not alone.

All investors have a right to competent and suitable investment advice. When things go wrong, they have the right to hold financial institutions liable for rendering bad investment advice or worse, financial fraud.

Securities Arbitration is how most disputes between customers and financial institutions are resolved. Though often perceived to be an informal arbitration process, they are actually highly specialized proceedings that often last several days or weeks.

Individual cases generally involve issues related to:

• Unsuitable investments – investments that don’t match your investment needs
• Churning – excessive trades to generate commissions
• Fraud – providing false information to influence investment decisions
• Theft – a loss resulting from a criminal act
• Misrepresentations – false statements or omissions that affect investment decisions
• Failure to disclose investment risks – a failure to reveal risk in an investment
• Breach of fiduciary duty – failure to act in the best interests of the investor
• Selling away – a sell/purchase recommendation for products not offered by an investment professional’s firm
• Over-concentration – a portfolio focused too heavily on a single investment

How do you distinguish bad investment advice from a general market decline? That is part of our work. We counsel you about your legal rights that could lead to a recovery of your hard earned investment savings. Because individual cases typically are resolved in the securities arbitration forum (often FINRA [Financial Industry Regulatory Authority]) as opposed to court, it is vital to hire an attorney with experience handling cases in this forum.

Griffin Law Firm has the securities arbitration experience you need. We effectively represented hundreds of investors and recovered millions of dollars in damages in securities arbitration cases against the largest Wall Street brokerage firms as well as smaller, regional firms.