Stockbroker/Financial Advisor Representation
We represent financial advisors in claims brought by or against their broker-dealers or RIA firms. We also represent advisors who have lost clients because of investments they recommended, based on faulty information from their broker-dealer. In these situations, FINRA panels have awarded financial advisors the value of the lost business. We have successfully represented financial advisors in promissory note cases, discrimination and harassment, raiding-related claims, compensation issues, and U-5 reporting issues.
From our history of representing clients, we have found that it is best that it is best to limit our investor cases to the representation of investors only, and for that reason, we do not represent defendants in those cases.