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Advisor Misconduct

We represent institutional and individual investors around the world in their disputes with financial advisors. Our skilled attorneys have extensive experience representing investors in arbitration and litigation disputes with securities broker-dealers and investment advisory firms.

Over the years we have won ground breaking cases for our investor clients.

A suitability claim is one of the most common customer claims made to a panel of FINRA securities arbitrators. Did you ever wonder why investment professionals ask questions about your investment experience, risk tolerance and more? FINRA’s suitability rule, FINRA Rule 2111, is based on a fundamental FINRA requirement that brokerage firms and their associated persons (sometimes referred to as brokers, financial advisers or financial consultants) deal fairly with their customers. FINRA has prepared this document to educate investors about our suitability ruleā€”and to explain the reasons why firms and their associated persons may ask their customers questions about their financial situation.

We represent investors with these and other types of investment fraud and financial advisor misconduct cases.