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Advisor Misconduct Attorneys

We represent institutional and individual investors around the world in their disputes with financial advisors. The law firm represents financial services professionals, registered investment advisors and broker-dealers in employment matters, industry disputes and regulatory investigations.

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.