Investor Representation Serving Clients Nationwide

When investing, there is always the risk of a loss. But if your losses are due to the wrongful conduct of a financial advisor, stockbroker, financial planner, insurance agent, or someone acting in a similar capacity, you may be able to recoup your losses. We represent investors who suffer financial losses from the wrongful and unethical conduct of these persons. Whether you are an individual or institutional investor, securities law protect your rights when assets are improperly invested.

If you have experienced losses with an unscrupulous financial advisor, we work to recoup them. Oftentimes, investors do not understand they have been harmed and believe they can trust their financial advisor who has in fact harmed them. Your losses may be the fault of the financial advisor, not the excuse you got. We look at the facts and advise you on whether it is beneficial to proceed and how to do so.

In many cases, we see harmful conduct that does not necessarily result in a readily apparent or immediate loss of funds but harms clients in other ways, such as having funds invested in illiquid products or products with excessive fees. Other times, funds are transferred from investors' accounts without their knowledge or authorization. We always recommend another viewpoint or opinion if you question—or just do not understand—how your life savings, retirement funds, or other assets have been handled.



Many members of the securities industry see investor fraud with their new clients and refer those clients to us. They believe it is important to rid the industry of persons giving them a bad name and causing a loss of faith in the important services they offer.

Securities advisors owe investors defined standards of conduct in investing their funds. In most instances, they owe investors a fiduciary duty and must act in their best interests. You do not have to bear losses resulting from their wrongdoings. For example, senior investors' assets must be invested more conservatively and in line with their needs as they age.



Financial advisors must be diligent in handling and monitoring clients' assets. They must understand and honor their clients' wishes. When financial advisors fail to meet their duties, the results can be disastrous. Too often, people lose all their lives' savings due to unscrupulous financial advisors, stockbrokers, financial planners, insurance agents, and fraudsters.

Standards of Conduct

We successfully represent clients in all types of investor claims, including those involving:

• Suitability
• Risky investments inappropriate for the investor
• Churning, or excessive trading
• Unauthorized trading
• Inappropriate trading activity
• Excessive fees and compensation
• Failure to follow instructions
• Misrepresentation or mischaracterization of an investment or services
• Breach of fiduciary duty
• Conflicts of interest
• Annuity sales
• Annuity twisting
• Failure to conduct due diligence in recommendations
• Private placements
• Real estate investment trusts
• Business development companies
• Illiquid securities
• Unauthorized access to and depletion of an investor's funds
• Aggressive and risky investments and strategies
• Financial exploitation of the elderly or elder abuse
• Manipulative and deceptive practices
• Securities fraud
• Fraud

When a client has a claim against a financial advisor, the case usually goes to arbitration. We have extensive experience with this system, and we will help guide you through the process every step of the way. We also pursue other alternative dispute resolutions, such as mediation and other avenues, to avoid lengthy and expensive actions in court.

We Handle All Types Of Investor Claims

Contact Us If You Have Been Harmed By A Bad Investment

When losses result from wrongful conduct we stand ready to hold the responsible parties accountable. To schedule a free initial consultation, call us or contact us online. We provide representation to clients nationwide.

Contact Stafford Law Firm Today!