Brown is the subject of eight disclosures, seven of which are customer disputes. He was “permitted to resign” on 12/4/2024 after becoming the subject of an internal review into his sales practices by Northwestern. In this disclosure, Northwestern stated that Brown:

• Provided clients with incorrect or misleading information
• Engaged in unsuitable life insurance policy sales
• Oversold policies for his own benefit (i.e., commissions)
• Provided inaccurate income data for clients to ensure their suitability

No additional information is available for this discharge.

Customer Disputes And FINRA Arbitration

The most recent customer dispute was filed on July 17, 2025, regarding a variable life insurance policy. The customer alleges that around June 2024, Brown sold him a variable universal life insurance policy without his knowledge or understanding. He further claims that a loan was taken from his existing non-variable life insurance policy to pay the premium on the new variable policy, without his consent or awareness.

This customer also stated that Brown misrepresented the transaction, leading him to believe that the funds deposited into his account from the non-variable policy were a withdrawal of its cash value rather than a loan. Additionally, the customer claims that subsequent debits from his account were described as returns of overpayments from the non-variable policy, when in fact they were premium payments for the new variable policy. This dispute is currently “pending,” and there is no mention of the requested damages.

From September 19, 2024, to May 15, 2025, six additional disputes were filed with similar allegations of misrepresentation. They included similar variable life insurance policies with monthly premiums. In some cases, Brown erroneously informed customers that there were no premiums, and they were not informed of the consequences of stopping premium payments. Another customer stated that they were only offered life insurance as an investment, and Brown assured them that they had liquidity when they did not.

None of the customers were given an accurate description of the policy or the terms, and did not have a full understanding of the insurance or associated transactions. These disputes included requested damages totaling $207,882.00 and collective settlements of $324,463.57.

Unsuitable Recommendations and Breach of Fiduciary Duty

Investors expect that when their broker or investment advisor suggests something, they can trust their advice. Unfortunately, that’s not always the case.

A broker or investment advisor must consider several factors before making a recommendation. This includes the investor’s objectives, risks, and risk tolerance, overall complexity, and their age. For instance, a cryptocurrency investment that may work for a 40-year-old investor who understands crypto and has some capacity for risk may not be suitable for the investor’s 80-year-old father, who prefers low risk, liquidity, and a more conservative profile.

When a financial representative recommends cryptocurrency to the 80-year-old investor, that is freqeuntly unsuitable. Financial incentives to brokers and investment advisors incentivize them to recommend investments that may be unsuitable for some of their customers. An older investor may not have the capacity to recover from a larger loss as a younger one might, making a high-risk cryptocurrency investment unsuitable for them.

Investors of all ages should always research these products before investing. Don’t be afraid to ask questions of the broker who’s making these recommendations, as well as asking others, such as a relative or legal counsel. FINRA’s website has a wealth of information on investing. The website also includes a helpline for senior investors.

Did You Invest With Raymond Brown? 

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses from stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases are handled on a contingent fee basis, meaning that you won’t owe us until we recover your money for you. Contact us today at (800) 975-4345 and let us know how we can help.

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Krapf has ten disclosures in his CRD, four of which are customer disputes. The most recent disclosure is a suspension from FINRA after Krapf failed to provide requested information. FINRA issued a suspension effective 4/6/2026 indefinitely. If Krapf does not request a termination of the suspension within three months, he will be permanently barred from the industry effective 6/29/2026.

In a previous disciplinary action issued by FINRA on 10/30/2024, Krapf was suspended for five months after being found to have excessively traded in a senior customer’s account. The customer relied on Krapf’s advice in every sale, giving Krapf de facto control over the customer’s account. This was in violation of Rule 15l-1 of the Securities Exchange Act of 1934, known as Regulation Best Interest (Reg BI). Krapf’s trading in the customer’s account generated total trading costs of $96,496, including $92,847 in commissions, leading to $41,017 in total realized losses.

Krapf also has three pending customer disputes with similar allegations of unsuitability, churning, failure to supervise and excessive trading. The first one filed on 5/14/2025, requests damages of $931,402.00.

An earlier customer dispute dated 10/10/2018 alleged breach of fiduciary duty and negligence. The customer requested damages of $500,000 and the claim was settled for $165,000.

Krapf also has four judgments with liens:

• 5/8/2024, civil, for $250.00
• 5/2/2019, tax, for $135,977.00
• 5/28/2015, tax, for $3,247.00
• 5/1/2014, civil, for $5,000

No additional information on the liens.

Did You Invest With Jesse Krapf? 

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases are handled on a contingent fee basis, meaning that you won’t owe us until we recover your money for you. Contact us today at (800) 975-4345 and let us know how we can help.

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Gomez has one customer dispute, dated 9/15/2025. The customer alleged that Gomez “Sold annuities in 2020 without disclosing all material terms. Client also provided loans below market rates to entities allegedly affiliated with advisor.” The customer requested damages of $395,869.90, and the dispute was settled for $190,000.

LPL Financial permitted Gomez to resign on 11/5/2025 amid allegations that he “Failed to disclose and receive prior approval for loans from customer; failed to disclose and receive prior approval for outside business activities; and used an unapproved messaging platform to transmit business-related communications.”

Following his discharge, FINRA began an investigation into his business dealings and requested information from Gomez. When he failed to respond to these requests, FINRA issued a three-month suspension effective 4/6/2026. If Gomez fails to respond to FINRA’s requests by 6/16/2026, he will be permanently barred from any association with any FINRA member in any capacity.

When A Broker Has Outside Business Activities

Under FINRA Rule 3270, brokers and registered representatives must provide written notice to their member firm before engaging in any Outside Business Activity (OBA). The firm can assess any conflicts of interest, customer confusion, and if the activity might interfere with the broker’s duties at the firm.

When a broker engages in OBA, they must follow FINRA and their firm’s rules addressing their activities. First, the broker must disclose their intent and interests in OBA, and submit a detailed written report on their plans. The firm must then determine if the broker’s OBA might be considered part of the firm’s regular business.

Depending on the outcome, the firm may give permission, but place limits on the broker’s outside activities. If the firm determines whether it poses undue regulatory risk, conflicts with client obligations, or is otherwise problematic, it may deny the broker permission.

A broker’s OBA may not even be in the financial industry, but they still need their firm’s permission. If the outside activity involves selling securities for compensation, it shifts from an OBA to a Private Securities Transaction (PST) under FINRA Rule 3280. These require the firm’s express written approval and direct supervision before the broker can participate.

Should a broker pursue an OBA without their firm’s written approval and permission, the broker can be terminated, have disclosures in their Form U5 that impact future employment, a bar from the industry or extensive fines from FINRA.

Did You Invest With Francisco M Gomez? 

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases are handled on a contingent fee basis, meaning that you won’t owe us until we recover your money for you. Contact us today at (800) 975-4345 and let us know how we can help.

The post Broker Francisco M Gomez Suspended After Customer Loans And Outside Business Activities appeared first on Securities Arbitration Lawyers Blog.

Citigroup discharged Cho on April 14th, 2026, under allegations he utilized a customer’s personally identifiable information and forged a signature to create a falsified “non-firm generated” statement. These statements were used to misappropriate $3.5M of a customer’s investment funds. Cho engaged in these activities while employed with both Citigroup and Ameriprise.

Following a customer complaint regarding Cho’s forging of their signature and misappropriation of $3.5 million from their brokerage account, FINRA initiated an investigation into Cho’s business practices.

Cho also refused to cooperate with FINRA’s investigation into these activities. FINRA sent Cho two letters requesting information which he declined to send. In an email from Cho’s legal counsel, he stated that he would not provide any of the requested information at any time. Because Cho refused to provide this information, FINRA permanently barred him from all association with any FINRA broker dealer, effective June 26, 2026. Cho agreed to the bar and signed the Letter of Acceptance, Waiver & Consent (AWC) without admitting or denying the findings.

A previous customer dispute filed on 11/10/2009 alleges that Cho mismanaged an account. The customer requests damages of $10,343.47, and the claim was settled for $153.00.

How Do You Know If A Statement Is Legitimate?

Most brokerage clients have no reason to suspect that their statements are anything less than legitimate. FINRA has specific rules about customer statements. If you have questions, your broker should be able to answer them easily.

Should you ever wonder about one or more account statements, there are ways to verify their legitimacy or find out if they aren’t. Asking your broker might not work. If they are doing something wrong, they will probably not answer any questions truthfully.

Instead, bypass your broker and contact the brokerage directly. Go to the brokerage’s website and log into their customer portal. From there, you should be able to access all your statements and activity for your accounts. Download the ones you want to examine closely.

You can also contact the clearing firm that handles the brokerage’s transactions. Use the phone verified phone number on FINRA’s BrokerCheck database and ask them to verify your recent transactions and account balances.

The document itself may also have discrepancies that show alteration. Math errors, inconsistent formatting, such as font differences, blurry logos, or misaligned decimal points indicate an altered page. If you receive a PDF document that says it’s from a bank or brokerage, examine the metadata closely for print like “Produced by Microsoft Word,” or has a “modified date” that’s different than the creation date, it’s very likely to be falsified.

Cross-check your statement against the physical or emailed trade confirmations you received right after a purchase or sale. Then verify your trades by ensuring that the securities are genuine and not forged or fabricated.

Did You Invest With Sung Moo Cho? 

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases are handled on a contingent fee basis, meaning that you won’t owe us until we recover your money for you. Contact us today at (800) 975-4345 and let us know how we can help.

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The disciplinary proceeding focuses on Spartan Capital’s “churning” and “excessive trading” of customer accounts.  Generally, “churning” refers to the frequent buying and selling of securities in a customer account for the primary purpose of generating commissions.

FINRA’s Complaint Against Spartan Capital

According to FINRA, Spartan Capital “facilitated this churning and excessive trading, failing to take any meaningful steps to supervise the 39 registered representatives who carried out this misconduct on the firm’s behalf.”  Amongst other things, FINRA’s Complaint alleges:

• “Spartan allowed the Spartan Representatives to churn and excessively trade customer accounts despite glaring red flags that those representatives were committing misconduct and harming customers.”
• “Spartan routinely hired registered representatives with a history of customer complaints and regulatory inquiries into potential excessive and unsuitable trading of customer accounts.”
• “Spartan’s Business Depended on Excessively Trading Customer Accounts”

The Complaint alleges violations of federal securities laws and FINRA Rules.

You May Be Entitled To Compensation If “Churning” Occurred In Your Spartan Capital Investment Accounts

FINRA and SEC rules and regulations require brokers to act in their clients’ best interest and have a reasonable basis that a recommended investment will be beneficial for the customer based on their investment objectives, liquidity needs, tax status, and risk tolerance, amongst other factors.

Silver Law Group is a leading investor rights firm representing main street investors in securities and investment fraud disputes nationwide. Our attorneys routinely handle class actions and other cases involving Ponzi schemes, investment frauds, and financial advisor misconduct.

If you have any questions about your Spartan Capital accounts, call to speak with an experienced securities attorney. Most cases are handled on a contingency fee basis, meaning that you won’t owe us until we recover your money for you. All case evaluations are free. Contact us today at (800) 975-4345 to discuss how we can help.

The post Did You Lose Money Investing With Spartan Capital Securities? appeared first on Securities Arbitration Lawyers Blog.

Tunink is the subject of 26 disclosures, primarily customer disputes. LPL Financial discharged Turnink on 9/8/2025 because he “Failed to disclose and receive prior approval for loans from customers; and settled a customer complaint away from the Firm.” It is unknown which customer complaint he settled on his own.

FINRA issued a suspension, effective 4/6/2026, after Tunink failed to provide requested information to the agency for its investigation. Tunink is suspended in all capacities from association with any FINRA member. The suspension is effective until he provides FINRA with the requested information. Should Tunink fail to act, or request that his suspension be lifted within three months, the suspension is permanent as of 6/16/2026.

From 8/1/2025 through 3/12/26, customers filed 24 disputes against Tunink with similar allegations: that he borrowed money from them for an investment opportunity that was away from LPL Financial. Of the 24, four of them are pending, two were denied, and the remaining 18 were settled for a total of $2,167,718.90. The four pending claims have collective requested damages of $1,517,714.

Financial Advisors Cannot Borrow Or Take Money From Investors

Brokers have a carefully curated list of investment options to offer their clients. These are generally screened, vetted, and backed by the firm before the brokers are allowed to offer them as an investment option.

Sometimes brokers offer investment options without the benefit of their firm’s due diligence, called “selling away.” The broker may believe that they’ve done enough of their own due diligence to be able to offer something to their customers. But if an investment isn’t backed by the firm, there is the possibility that if the investment doesn’t pan out the investors will lose their funds because the firm didn’t sanction anything.

Brokers who sell away from their firm may do so for many reasons. In some cases, a client would like to invest in something that the firm doesn’t offer. The broker can request written permission to act on the client’s behalf to purchase something for them. But without the firm’s backing, buying something that the firm doesn’t sell or sanction can be bad for the investor.

Silver Law Group Represents Investors To Recover Loans, Gifts Or Bequests To Advisors

Silver Law Group represents victims of financial fraud.  Although financial institutions like to act as a gatekeeper for investors to help prevent financial fraud, they also have the best insight into an investors funds.  Unfortunately, we have seen a rise in cases where financial advisors have improperly encouraged a client to make a gift, loan or bequest to the financial advisor claiming that they will be able to return the money with profit or that a gift is appropriate because of the close personal relationship of the parties.  In other circumstances, financial advisors have encouraged clients to make the advisor part of their estate plan.  These actions violate FINRA rules and can be considered a breach of fiduciary duty, elder fraud or abuse.  Silver Law Group has significant experience helping seniors and others recover unpaid loans and other money improperly taken by a financial advisor.

Did You Invest With William Tunink? 

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases are handled on a contingent fee basis, meaning that you won’t owe us until we recover your money for you. Contact us today at (800) 975-4345 and let us know how we can help.

The post William Tunink Barred After Borrowing Over $3M From Clients For Independent Investment appeared first on Securities Arbitration Lawyers Blog.

J.P. Morgan discharged Ahmed in May of 2025 after a customer dispute with requested damages of $225 million. In this CRD dispute, the client alleges that Ahmed engaged in misrepresentation, excessive trading, and offered unsuitable investment recommendations from April 27, 2020, through October 25, 2023. This claim is currently pending.

The next customer dispute, filed on February 26, 2024, includes losses related to Ahmed’s investment recommendations from May 26, 2022, through September 29, 2023, and requests damages of $38 million. This claim is also pending. It’s not known if this claim is related to the most recent one.

Legal Fees And Indemnification In The Securities Industry

A recent news article on AdvisorHub details Ahmed’s activities related to the most recent disclosures, indicating that the two cases may be related. Following his departure from J. P. Morgan, Ahmed was also sued by a billionaire client for $225 million. The client claimed that Ahmed’s unsuitable recommendations were severely underperforming and generated $40 million in excessive fees, and alleged breach of fiduciary duty, securities fraud, and negligent supervision.

In a petition filed last October, Ahmed has asked J.P. Morgan to advance funds to cover his considerable legal bills, including attorney’s fees defending himself against this claim. The petition is heavily redacted, including the specifics of the case involved, which is believed to be this one.

Ahmed invokes his right to indemnification, or to have J. P. Morgan pay his legal expenses and reimburse him for funds he has already spent in the case. He claims that J. P. Morgan “expressly agreed” to this reimbursement arrangement as part of his employment, and reiterated it in separate employment agreements in both 2024 and 2025. These agreements for repayment were only in the event that Ahmed was not eligible for indemnification.

J.P. Morgan responded on May 16 that it was terminating its “voluntary advancement” agreements, demanding repayment to the firm of all expenses that it had paid previously. Ahmed’s petition has blacked out that part of the letter, which may contain the bank’s reasoning, the reason for his termination, the case specifics, as well as the dollar amounts already advanced.

Previous Customer Disputes Or Securities Arbitration Claims

On 2/22/2012, a customer filed a dispute involving “interest rate swaps” from July 2008 through February 2012. This claim was settled for $458,684.00.

Another customer dispute filed on 12/1/2008 also included allegations of unsuitable recommendations and “failure to follow instructions.” The customer requested damages of $336,000.00, and the claim was settled for $85,000.

The first customer dispute, filed on 9/18/2000, alleges that Ahmed sold three stocks in February of 2000 without authorization. The client requested $57,000 in damages. This claim was denied and defended by Merrill Lynch.

Did You Invest With Arif Ahmed? 

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases are handled on a contingent fee basis, meaning that you won’t owe us until we recover your money for you. Contact us today at (800) 975-4345 and let us know how we can help.

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Smith is the subject of two disclosures. The most recent, filed on 12/2/2025, is a customer dispute alleging that Smith invested all his clients’ retirement assets in “illiquid structured notes.” They request damages of $2M. No additional information is available, and this claim is pending.

In a previous client dispute dated 10/16/2013, the client alleged that due to an incorrect address and failures to update, the client’s policy lapsed, and they missed a death benefit. They requested damages of $330,000.00 and were denied by the firm and refuted by Smith.

Structured Notes Involve Risks

Structured note investments are intended for seasoned investors who want to diversify while understanding and accepting the inherent risk. They are not intended for investors who are seeking a safe, steady income in their retirement with a conservative and low-risk investment strategy.

Structured notes are a “compounded” investment issued by banks and based on derivatives. It consists of a bond, or a loan you give to the issuer, and the derivative that determines its outcome. This note is then connected to a derivative, like an index or individual stock. The intent is for an investor to benefit from a potential upside while having some protection from its potential downside. However, they can also be expensive, as there are considerable fees involved that can eat into any returns.

Unlike investing in individual stocks or other investments, structured notes also lack liquidity. That is, should you decide that you want to un-invest, you generally can’t sell it because there isn’t a secondary market. Your only choice will likely be to resell it to the issuer for a greatly reduced rate. In that case, you will likely not recover much of your investment, if any.

Another scenario is if the issuer’s creditworthiness is in question, including a credit risk. If it experiences problems or folds, not only will you lose your investment, but you may also have to pay taxes.

There’s additional call risk should the issuer decide to redeem the note early. The investor will receive much less than the investment is worth, as the issuer will only offer as much as it wants. Additionally, the investor will be responsible for any federal taxes on this note, whether or not it matures or you receive any cash.

Smith’s investment of all the clients’ funds into structured notes was not in the best interest of the client. As with any investment your broker recommends, research, ask questions and get answers before investing any money into something new. Don’t be afraid to question your broker or seek another option before any investment.

Did You Invest With Dustin Smith? 

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases are handled on a contingent fee basis, meaning that you won’t owe us until we recover your money for you. Contact us today at (800) 975-4345 and let us know how we can help.

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“At the end of the day, Axos served as the clearing firm for a notorious Wall Street boiler room,” Scott said. “Axos had full transparency into Worden’s business.”

As the clearinghouse for all of Worden’s transactions, Axos knew what Worden was doing but did nothing to stop any activity they knew (or should have known) was illegal.

FINRA’s award stated that Worden Capital and its brokers were engaged “in egregiously unsuitable and excessive trading and churning, garnering over $16 million in commissions and fees while costing nearly all of [clients] out-of-pocket losses of over $12 million.”

In response, Axos filed a motion in a Manhattan federal court seeking to vacate the award, claiming it contained “fatal errors.”  However, as the article stated, the likelihood of a federal judge overturning FINRA’s award is very low.

Worden Capital closed in 2021, and FINRA expelled the firm in 2022. FINRA also barred CEO Jamie Worden from the securities industry. Three of his other previous employers have also been expelled. The investors filed their arbitration against Axos instead, since they could not collect from Worden Capital.

The  Brokerage Firm – Clearinghouse Relationship

As a clearinghouse, Axos is an intermediary between a broker-dealer and their retail customer, ensuring that both parties honor their obligations. It also ensures that trades are handled accurately and efficiently. These clearinghouses also contain some market disruptions and absorb some of the risks involved, including the default of either the broker-dealer or the customer.

The clearinghouse plays a vital role in the integrity of financial transactions. For the customer, a clearinghouse is the “middleman” between them and their broker-dealer.

While the broker-dealer handles the transactional trades and is a “face” to their clients, the clearinghouse handles the trade validation and other “back-office” functions and ensures that the trade is cleared. Clearinghouses also impose margin requirements to ensure enough capital to cover potential losses in a trader’s account.

When Can a Clearing Firm be Held Responsible for the Acts of an Introducing Firm

Clearing firms are essential to small brokerage firms to operate and provide significant support to their operations. Clearing firms have amazing transparency into brokerage firms operations and frequently help brokerage firms grow by providing financial and back office support.  While they may not be customer facing, clearing firms may be found to have aided or assisted misconduct by an introducing brokerage firm when it has knowledge of actual misconduct.

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses from stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases are handled on a contingent fee basis, meaning that you won’t owe us until we recover your money for you. Contact us today at (800) 975-4345 and let us know how we can help.

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FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. If you invested anyone in this report and have questions about your legal rights, our attorneys will talk with you at no cost to explain your legal rights and about how we can help recover your investment losses through securities arbitration or litigation.

FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. FINRA Rule 8210 requires a stockbroker or other registered person of the request to provide documents or information “with respect to any matter in [an] investigation, complaint, examination or proceeding.”

The subject matter of a FINRA investigation or inquiry can include almost anything relating to the brokerage industry or the financial advisor’s activities. FINRA regulatory rules allow for broad authority to investigate violations of FINRA’s rules and regulations including, Rule 2010 (a FINRA member “shall observe high standards of commercial honor and just and equitable principles of trade”). Under Rule 2010 FINRA can seek any documents or other information that FINRA believes is relevant to its inquiry. In 2013, FINRA announced in a regulatory notice that the scope of Rule 8210 had been clarified, stating that “all aspects of the relationship between a broker-dealer and its associated persons are potentially the subject of a Rule 8210 request.”

Securities Arbitration Claims Against Barred Brokers

Even after a broker is barred from the industry or otherwise faces disciplinary action, investors can still pursue stockbroker misconduct claims against their financial advisor and/or their brokerage firms. Financial Advisors who have engaged in misconduct or otherwise violated FINRA rules or regulations frequently surrender their license rather than cooperate in a FINRA investigation. In the past, FINRA barred brokers from the industry for participating in Ponzi schemes, elder financial fraud, breach of fiduciary duty, and other misconduct. While a bar from the securities industry can be a powerful piece of evidence for investors pursuing FINRA arbitration claims against their advisors and/or their brokerage firms, investors should work with experienced securities and investment fraud attorneys to help maximize their recovery.

FINRA arbitration is separate and distinct from FINRA’s regulatory obligations. In our experience, FINRA regulatory focuses on punishing the wrongdoers but rarely results in compensation for the victims. For investors who have been defrauded by a financial advisor or others, FINRA arbitration is frequently the best place to secure a recovery for losses.

Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.

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