An unexpected investment loss can leave you uncertain about your next step. When losses follow questionable advice, hidden fees, or trades you did not authorize, recovery may be possible. Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, helps investors nationwide evaluate whether misconduct contributed to their losses.
Recovering losses is not automatic. Market declines, interest-rate shifts, and ordinary economic cycles can reduce account value without creating a legal claim. The key issue is whether a broker, advisor, or firm violated the rules that govern your account. Our firm reviews account statements, correspondence, and trade records to identify red flags.
If you suspect misconduct, call 1-888-885-7162 for a free case review. We represent investors on a contingency fee basis, which means no attorney fee unless money is recovered. There is no upfront cost to learn whether your losses warrant a claim.
How investment losses may signal misconduct
Some losses are simply part of investing. Others trace back to specific failures by the financial professional or the firm.
Common problems include recommending investments that do not match your risk profile. They include making trades without your approval. They also include concentrating too much of your portfolio in one product. These issues can turn normal volatility into recoverable harm.
Misconduct may also take the form of misrepresentation or omission, where a product’s risks are downplayed or its features are misstated. Advisors sometimes hide conflicts of interest or steer clients toward private placements, structured products, or REITs that pay high commissions. If the advisor’s firm failed to supervise the account, the firm may share responsibility.
Learning how to discover investment fraud early can protect your remaining assets and preserve evidence. Our team reviews the full account history to separate ordinary market risk from actionable misconduct.
Recovery options for investors
Most brokerage customer agreements require disputes to be resolved through Financial Industry Regulatory Authority (FINRA) arbitration rather than court. FINRA arbitration is generally faster and more private than litigation, though it has its own rules and deadlines. Investors can seek compensation for principal losses, missed growth, and sometimes attorney fees and costs.
When a claim involves fraud, unsuitable recommendations, churning, or unauthorized trading, the question is not just what was lost. We also ask whether the losses were avoidable. A successful claim typically shows that the broker or firm failed to follow applicable standards, and that the failure caused real damage.
FINRA’s dispute resolution forum hears thousands of investor claims each year. The process begins with a statement of claim, followed by arbitrator selection, discovery, hearings, and a final award. A neutral panel reviews the evidence and issues a binding decision. Investors can learn more about arbitration rules directly from FINRA’s dispute resolution page.
Common recovery paths compared
| Factor | Court litigation | FINRA arbitration |
|---|---|---|
| Who decides the case | Judge or jury | Panel of arbitrators |
| Typical timeline | Often two years or more | Often 12 to 18 months |
| Discovery process | Broad document and deposition discovery | Limited but focused discovery |
| Public record | Public court filings | Private proceedings and award |
| Cost structure | Hourly, hybrid, or contingency | Often contingency for investor claims |
| Right to appeal | Usually available | Very limited |
Steps to take after an investment loss
| Step | What to do | Why it matters |
|---|---|---|
| Gather records | Collect statements, trade confirmations, and emails | Establishes what happened and when |
| Preserve the timeline | Write down when you first noticed losses | Helps identify deadlines and causation |
| Review recommendations | Compare advice to your stated goals and risk tolerance | Reveals unsuitable or misleading conduct |
| Avoid quick settlements | Do not sign releases before reviewing the terms | Releases can bar later claims |
| Request a free review | Call our firm to discuss the facts | Determines whether you have a viable path |
What our firm brings to your case
Our firm is a national practice led by former Wall Street defense attorneys. We have more than 95 years of combined experience representing investors. Our lawyers understand how broker-dealers and investment firms defend these cases, and we use that knowledge on behalf of injured investors.
Our team has recovered more than $520 million for clients and reports a 98% success rate. Our attorneys are recognized in the Top 2% of Super Lawyers. These results reflect past cases and do not guarantee any future outcome.
When to act
Time matters in investment-loss claims. Brokerage agreements and state laws impose deadlines that can end your right to recover. The sooner you preserve records and seek advice, the stronger your position becomes. If you are unsure about your timeline, contact us before taking any action that could affect your rights.
Many investors ask whether they can sue their stockbroker directly. The answer usually depends on the arbitration clause in your account agreement and the facts of your case. We review those documents as part of our free case evaluation.
Frequently asked questions
Can I recover money after an investment loss?
You may recover if your losses were caused by broker misconduct, breach of fiduciary duty, fraud, or failure to supervise. Market losses alone do not create a claim.
How long does FINRA arbitration take?
Many FINRA arbitration cases conclude within 12 to 18 months, though complex cases may take longer.
What does it cost to hire an investment fraud attorney?
We handle investor cases on a contingency fee basis. You pay no attorney fee unless money is recovered.
What evidence do I need to recover investment losses?
Account statements, trade confirmations, email or text correspondence, marketing materials, and notes from conversations can all help establish the facts.
Is there a deadline to file an investment loss claim?
Yes. Filing deadlines depend on your account agreement, state law, and the type of claim. Missing a deadline can bar recovery.
Can I sue my stockbroker directly?
You generally must follow the dispute resolution process in your brokerage agreement, often FINRA arbitration. A lawsuit in court may be possible in limited circumstances.
If you believe your losses were caused by misconduct, contact our firm today. Call 1-888-885-7162 for a free case review.
This page is for informational purposes only and does not constitute legal advice. Past results do not guarantee future outcomes.