If you have suffered a financial loss in your brokerage and/or investment account you may have the right to compensation for such losses against your broker-dealer and/or investment advisor.
Rolnick & Netburn represents investors in claims against broker-dealers and investment advisors. These disputes are typically brought in the form of an arbitration proceeding before the Financial Industry Regulatory Authority (FINRA). This is because an agreement to arbitrate any such dispute is included within the account documents for every brokerage account opened.
There are many different types of claims that may be asserted on behalf of an investor including:
- unauthorized trading;
- breach of fiduciary duty;
- negligent misrepresentation;
- and failure to supervise.
Rolnick & Netburn can help clients determine whether their investment losses were the result of normal market forces or the misconduct of their broker and/or investment advisor.
Please contact us for a free consultation.