Recover Investment And Retirement Account Losses
When you open an investment account, you are entrusting your finances and often your retirement to a broker or other financial services firm. There are laws and regulations in place to protect you, such as industry regulations and ERISA, among others. If the broker refuses or fails to comply with the law, you could suffer significant loss and financial harm. Some examples of unlawful behavior are:
- Excessive charges to your 401(k) retirement account
- Offering unsuitable investment advice based on your investment objectives and experience
- Failing to diversify your portfolio
- Excessively trading to generate commissions
- Advancing the firm’s interests at your expense
- Completing a transaction without your approval
- Any other breach of industry standards and applicable law
If you have an investment professional managing your investment portfolio or retirement plan, watch for these behaviors. You should consult a lawyer skilled in securities litigation and arbitration if you suspect improper or unlawful conduct.
We Protect Your Finances And Your Future
Because your broker or financial advisor is handling such important assets, illicit activity could ruin you financially or at least cause significant harm and adversely impact your retirement. It is very important to retain an attorney who can protect your interests if this happens.
At Rodriguez Tramont & Nuñez, P.A., our focus is securities law and issues surrounding investments and fraud. Our attorneys have experience defending brokers so we can handle your case from a unique perspective. We thoroughly understand the financial industry’s strategies and defenses. We are prepared to fight for you.
Identify Misconduct and Recover Your Losses
We have compiled some helpful information that can help you identify misconduct related to your Investment and Retirement Account Losses and better understand some of your options for recovery:
- Stockbroker Warning Signs
- Tax Return Warning Signs
- Brokerage Firm Misconduct Causes of Action
- Path to Recovery
- FINRA (Financial Industry Regulatory Authority)
Request A Consultation Today
We offer free consultations to all of our clients. Contact us online or call 800-649-7239 to set up an appointment. We work on a contingency fee basis, so you do not pay unless we recover compensation for you.
We are located in Coral Gables and are licensed to practice in Florida, New York, Illinois, Missouri, Wyoming and Massachusetts.
Se habla Español.