Question 1

What is Stock Broker or Financial Advisor Fraud?

Accepted Answer

There are many forms of stockbroker fraud that can range from lying to misrepresenting investment products. We offer a free service to review investors' portfolios and financial advisors for all investment fraud issues, including those involving investment advisors, investment advisers, and registered investment advisers. You can also search online with a service by FINRA, called “ Broker Check .” that will allow you to search broker-dealers and stockbrokers.

Question 2

How do I find a good investment fraud attorney?

Accepted Answer

The best way to find a good investment fraud attorney is to interview multiple lawyers and find the one that has the most experience in securities investment fraud and meets your personal expectations. Look for attorneys who are experienced securities fraud lawyers and securities fraud attorneys, as they are skilled in handling a wide range of investment fraud cases.

Question 3

What does an investment lawyer do?

Accepted Answer

An investment fraud lawyer helps clients recover losses from financial advisors and broker-dealers. Much of the work involves understanding securities products and FINRA rules and regulations. They also represent clients in investor claims and securities law violations, advocating for those who have suffered investment losses.

Question 4

How can I pay for a lawyer with no money?

Accepted Answer

Most of our clients do not pay our firm anything until we win the case. We work on a contingency basis and don't require any payment to start. In addition, we offer a free consultation. We represent clients who have suffered financial losses and are committed to helping them recover investment losses.

Question 5

What are Ponzi schemes?

Accepted Answer

Ponzi schemes are investment scam that fake returns and uses the money from new investors to pay existing investors. Fraud can also occur in hedge funds, where improper practices and misrepresentations may lead to significant investor losses.

Question 6

What is a breach of fiduciary duty?

Accepted Answer

A breach of fiduciary duty is when a principal (such as a financial advisor) fails to act in the best interests of a client. Such breaches may also involve securities law violations, which can be the basis for legal claims.

Question 7

What is the fastest way for investors to recover losses from brokerage firms?

Accepted Answer

One of the fastest ways for investors to recover losses from an investment firm or financial advisor is through a FINRA arbitration claim. Investor claims are often handled by a securities fraud attorney who can guide you through the process to recover investment losses.

Question 8

What is Financial Industry Regulatory Authority (FINRA)?

Accepted Answer

The Financial Industry Regulatory Authority (FINRA) is a private self-regulatory organization that regulates broker-dealers and stockbrokers. They are charged with licensing, registration, arbitration, and enforcement. The organization is based in New York and is formally known as the NASD. FINRA also plays a key role in regulating investment advisors and financial institutions to protect investors.

Question 9

How do I know if I have a case?

Accepted Answer

Every situation is unique, but we can typically guide you in the right direction after a short initial no-cost consultation in person or by telephone. We try to answer all of your questions and provide you with relevant information so that you can make informed decisions about your situation. If you have suffered investment losses, we can help determine if you have grounds to recover investment losses through legal action.

Question 10

How long will the process take?

Accepted Answer

While it does vary depending on the individual circumstances, and there are several potential strategies that can be considered for expediting cases, most FINRA securities arbitration, and investment litigation matters are concluded within a 12-14 month time frame from the filing date.

Question 11

Is information about my arbitration claim publicly available?

Accepted Answer

Settlements are typically confidential and the arbitrators may issue an Award. The Award alone would be public; however, the Award typically will not include any personal details beyond the result in the case. In some instances, related matters may be filed in federal courts, where records can be public, and defense attorneys may be involved in those proceedings.

Question 12

What types of clients does your firm represent?

Accepted Answer

We have and continue to represent individual investors, trusts, corporations, pension plans, charitable organizations, and various entities. Our firm also represents investors, investment advisors, investment advisers, registered investment advisers, and financial institutions in a wide range of securities law matters and investor claims.

Question 13

Why Choose InvestmentFraudLawyers.com?

Accepted Answer

In a single word: Experience. We have personally worked for several years in the financial services industry. We have experience on all sides and in virtually every type of matter in this area. We have in-house brokerage firm experience, compliance-side experience, as well as a combined over 95 years of securities arbitration and investment litigation experience. Our team has extensive knowledge of securities law, securities laws, and experience litigating cases in federal courts.

Question 14

How are you compensated?

Accepted Answer

Every case and every situation is different, as is every client relationship. We are committed to working with our clients to arrange cost-effective litigation strategies and we have arrangements that include hourly, contingency, hybrid, or alternative fee arrangements depending on what makes sense for our clients in every case. We represent clients who have suffered financial losses and work to help them recover investment losses.

Question 15

Who are the arbitrators?

Accepted Answer

Arbitrators are generally three neutral individuals who serve as the judge and jury for your case. Some have more arbitration experience than others; however, in order to become an arbitrator, one must apply and receive training. Well-recognized securities arbitration forums include Financial Industry Regulator Authority (FINRA), American Arbitration Association (AAA), and JAMS. FINRA is the most common arbitration forum and you can learn more about the process and who the arbitrators are at www.finra.org .

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