Investor Resources

We do not charge anything for our initial consultation. If we decide to take your case, we can take it on a contingency fee basis or hourly. For contingency fee cases, we do not charge our clients for our time unless we win. In that case, we take a percentage of the recovery to pay for our time and effort on the case. We will also advance payment of all case expenses incurred in your prosecuting claims such as filing fees, copying and mailing costs, and research fees. If you recover money as a result of the work that we perform, you will repay us for the amounts we have advanced in payment of case expenses. You do not owe us for our time or case expenses if we lose. For hourly cases, we get paid an hourly rate regardless of the outcome. We will work with you to decide what the best method of payment is.

FINRA is an acronym; it stands for the “Financial Industry Regulatory Authority.” FINRA is the super-regulator that was created when the old NASD (the “National Association of Securities Dealers”) merged with the regulation, enforcement, and arbitration arms of the New York Stock Exchange (NYSE). FINRA now serves as the primary regulator for brokerage firms in the United States, and importantly, it hosts the arbitration forum where our clients bring disputes against their brokerage firms.

We take all types of investment cases where an investor lost money. Some cases that we have taken in the past or are currently investigating include the following products: variable annuities, viaticals, real estate investment trusts or “REITs,” tenants in common or “TICs,” limited partnerships, investment fraud, including Ponzi schemes, structured products, options, margin, oil and gas partnerships, collateralized debt obligations or “CDOs,” collateralized mortgage obligations or “CMOs,” hedge funds, private placements, and leveraged exchange traded funds or “ETFs.” Some of these cases have to do with broker fraud or misconduct including Ponzi schemes, churning, unauthorized trading, misrepresentations and omissions, overconcentration, breach of fiduciary duty, and negligence. If you believe you have lost money due to bad investment advice or misconduct, please contact us. We may be able to help.

The “SEC” is the United States Securities and Exchange Commission. It was created by the Securities and Exchange Act of 1934, and is the federal agency that is tasked with regulating securities laws in the United States.