What We Handle
The practice areas below are not a menu of legal theories. They are the recurring patterns of misconduct I investigated for a decade inside the SEC and now see, year after year, in FINRA, AAA, and JAMS arbitration. If you recognize your situation in any of them, the consultation is free and confidential, in English or Spanish. And if you are not sure which category fits, skip the categories entirely. Describe what happened, and identifying the claim is my job, not yours.
What We Handle
The practice areas below are the recurring patterns of misconduct I investigated at the SEC and now see in FINRA, AAA, and JAMS arbitration. If you recognize your situation, the consultation is free and confidential. If you're not sure which category fits, describe what happened—identifying the claim is my job.
What We Handle
The practice areas below are the patterns of misconduct I investigated at the SEC and now see in FINRA arbitration. If you recognize your situation, the consultation is free and confidential. Describe what happened, and I'll identify your claim.
When the problem is how your broker behaved. Churning your account for commissions, trading without authorization, misrepresenting what you were buying, or operating outside the firm's supervision. These cases turn on the account records, and I read those records the way I read them at the SEC and at HSBC, looking for the pattern the firm's own systems should have flagged.
Churning your account for commissions, trading without authorization, misrepresenting what you were buying. These cases turn on the account records, and I know how to read them.
Churning your account, unauthorized trading, misrepresentation. These cases turn on account records.
When the problem is what you were sold. Non-traded REITs, private placements, structured products, variable annuities, L Bonds, and other complex or illiquid products carry obligations that scale with their complexity. If a product you did not understand consumed savings you could not afford to lose, the recommendation itself may be the violation.
Non-traded REITs, private placements, structured products, variable annuities. Complex products carry scaled obligations.
Non-traded REITs, private placements, structured products. Complex products carry scaled obligations.
When the loss was never an investment at all. Ponzi schemes, affinity fraud, offering fraud, and outright theft. I led the SEC investigation that halted a $132 million pyramid scheme with victims in 64 countries, and I know how these schemes are built, how they hide, and where the recovery paths run once they collapse.
Ponzi schemes, affinity fraud, offering fraud. I led the SEC investigation that halted a $132 million pyramid scheme affecting 64 countries.
Ponzi schemes, affinity fraud, offering fraud. I led the SEC investigation of a $132M pyramid scheme.
When the wrongdoer is a registered investment adviser rather than a broker. Advisers owe a fiduciary duty, the highest standard the law imposes, and their misconduct runs from undisclosed conflicts to fee abuse to portfolios that serve the adviser's interests instead of yours. These claims are heard at AAA or JAMS under your advisory agreement, and few claimant firms know this lane. Mine does.
Advisers owe a fiduciary duty. Their misconduct runs from undisclosed conflicts to fee abuse to portfolios that serve their interests instead of yours.
Advisers owe a fiduciary duty. Misconduct ranges from undisclosed conflicts to fee abuse.
How recovery actually works. What FINRA arbitration is, what it costs on contingency (nothing unless you recover), what the timeline looks like, and what deadlines apply. Rule 12206 gives most claims six years from the events at issue. If your losses are recent, you have time. If they are not, call today rather than tomorrow.
Case costs and expenses are payable from any recovery as provided in the written engagement agreement.
How recovery works. FINRA arbitration on contingency (nothing unless you recover). Rule 12206 gives most claims six years from the events at issue.
Case costs and expenses are payable from any recovery as provided in the written engagement agreement.
FINRA arbitration on contingency. Six-year filing deadline. Call today, not tomorrow.
Case costs and expenses are payable from any recovery as provided in the written engagement agreement.
Most investors are not. Describe what happened in plain language, and I will tell you honestly whether you have a claim, which category it belongs to, and what recovery could look like. Free consultation. No recovery, no fee.
Find Out If Your Losses Are Recoverable