When an investment goes wrong, most people do not know the legal name for what happened to them. They only know that something was not right. This page explains the types of investor claims we handle in plain language, so you can find the situation that sounds like yours and learn whether it may be the basis for recovering your losses.
Investor Claims We Handle
If you trusted a broker or financial advisor to look out for you, the question the law asks is whether that professional did their job — not whether you should have known better.
Common Investor Claims
Many investors are not sure which claim fits their situation, and that is completely normal.
These are the most common claims we handle. Each one is explained in plain language — select any claim
to learn what it means and how it may apply to you.
"“I was put into investments that were too risky or complex for me.”"
Unsuitable Recommendations
Advice to buy or hold an investment that did not fit your goals, age, income, time horizon, or tolerance for risk.
Learn More"“I was not told the truth, or not told something important, about an investment.”"
Misrepresentation and Omission
Being told something untrue about an investment, or not being told something important, before you invested.
Learn More""My broker's behavior went on for a long time and no one stopped it.""
Failure to Supervise
When a brokerage firm does not properly oversee the broker or the activity that caused your losses.
Learn More"“I wrote a check for something that never showed up on my statements.”"
Selling Away
When a broker sells you an investment outside the firm, often one that never appears on your account statements.
Learn More"“Almost everything I had was in one investment or one sector.”"
Overconcentration (Failure to Diversify)
When too much of your money is placed in a single investment, sector, or strategy.
Learn More"“Trades happened in my account that I never approved.”"
"“There was constant buying and selling, and a lot of fees.”"
Churning
Excessive buying and selling in your account, often to generate commissions rather than to help you.
Learn More"“An older family member was taken advantage of.”"
Elder Financial Abuse
The financial exploitation of an older investor, including unsuitable advice, undue pressure, or misuse of trust.
Learn More"“The returns seemed too good to be true, and then everything collapsed.”"
Ponzi Schemes
An investment that pays earlier investors with money from newer ones, rather than from real profits, until it collapses.
Learn More"“I think money was taken, misused, or obtained by deception.”"
Don’t see your situation described here?
Request a free case review — we may still be able to help
Supporting Legal Theories
These broader legal theories often accompany the claims above. They are usually pursued alongside a specific claim rather than on their own.
Breach of Fiduciary Duty
When a professional who was legally required to put your interests first failed to do so.
Learn MoreNegligence
When carelessness by a broker or firm, rather than intentional wrongdoing, caused your losses.
Learn MoreBreach of Contract
When a broker or firm failed to honor the terms of an agreement with you.
Learn MoreRegulation Best Interest (Reg BI)
A federal standard requiring brokers to act in your best interest when making a recommendation.
Learn MoreHow to Use This Page
These pages describe the most common types of investor claims in plain language. They are meant to help you recognize whether what happened to you may involve more than ordinary market risk. Markets rise and fall, and not every loss is the basis for a claim. What often matters is how an investment was recommended or handled — not simply that it lost money.
If a description here sounds like your experience, it may be worth having an attorney review the details. And if you do not see your situation described, we may still be able to help.
How We Pursue These Claims
Most investor claims are resolved through FINRA arbitration rather than a traditional court case, though some matters belong in court. We will explain which path fits your situation — and we handle the process so you do not have to navigate it alone.
FINRA Arbitration
Learn MoreSecurities Litigation
Learn MoreRelated Investor Resources
Looking for practical next steps? These resources may help.
THINK YOU MAY HAVE A CLAIM?
If you trusted a broker or financial advisor to look out for you, the question the law asks is whether that professional did their job — not whether you should have known better. If you trusted a broker or financial advisor to look out for you, the question the law asks is whether that professional did their job — not whether you should have known better.