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 they recommended investments 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 FAs in promissory note cases, discrimination and harassment, raiding-related claims, compensation issues, and U-5 reporting issues.

We have found that it is best for our clients that we limit our investor cases to the representation of investors only, and for that reason, we do not represent defendants in those cases.