Many people use brokers and investment advisers to help them make investment decisions. It is commonplace to rely on these professionals for guidance on how to generate wealth or save for retirement. This is because stock markets over the last two hundred years have established a track record of volatility, sometimes going up and sometimes going down. When investors suffer losses in the market, it can be catastrophic, ruining plans for retirement and causing irreparable damage to ordinary families.

While investment losses are sometimes due to the nature of the market itself, it is a reality that losses are sometimes due to misconduct by the broker. Misconduct can take many forms, ranging from negligence to outright fraud. In order to recover losses, victims of misconduct are generally required to bring claims in FINRA Arbitration – FINRA stands for the Financial Industry Regulatory Authority, which is the body responsible for regulating brokerage firms and hosting the arbitration forum. Unbeknownst to many customers, the account-opening paperwork at most brokerage firms contains an agreement to arbitrate in the event of a dispute. Resolving a dispute in arbitration is similar to suing in court in that the verdicts are binding on the parties; however, there are key differences between the arbitration process and suing in court, learn more.

Generally it can be difficult for investors to distinguish whether their losses are due to normal market fluctuations or broker wrongdoing. This is because the world of finance is complex and the investments themselves can take many forms and are not all straightforward. Therefore, it is important to consult an attorney who is knowledgeable about finance and the securities arbitration process.

The attorneys at the Law Office of Moshe Y. Singer represent investors who have sustained investment losses due to the misconduct of various types of financial professionals. We provide representation in every U.S. state and have an excellent success rate in recovering investor losses. Our firm generally works on a contingency fee basis, which means we do not get paid unless you recover. If you have suffered investment losses and feel you might have been a victim of broker misconduct, call us for a free consultation.