Seasoned Las Vegas Investment Fraud and Securities Negligence Attorneys Supporting Investor Rights
Working to protect the rights of investors who have been led astray by negligent stockbrokers
The Frankowski Firm is a long-standing leader in the field of investment law, focused on assisting those investors who have been taken advantage of by malicious or incompetent brokers or investment advisors. As professional and seasoned FINRA arbitration counselors in Las Vegas, as well as trial lawyers, we champion investors, small and large, who have experienced monetary losses through the delinquent activities or inaction of investment companies and brokerage firms. We provide effective, thoughtful guidance for people who have seen their investments falter through the actions of neglectful or fraudulent brokers, supervisors, and brokerage firms.
How do you know if you have a legal claim?
Losing money through an investment’s failure to perform as expected is not the only criterion in determining if a claim can be prosecuted. However, if the loss was precipitated by a firm or stockbroker acting against their expected code of conduct, there may indeed be grounds for a successful lawsuit or claim. Simply demonstrating that the broker was at fault is only an initial step in the case. Securities litigation and arbitration is an exceptionally complex area of the law, and exhaustive comprehension of the details of the rules and statutes that regulate it is a prime concern. Our team of experienced Las Vegas FINRA arbitration attorneys has the legal, financial, and practical experience with FINRA cases to safeguard investors’ rights.
What is FINRA arbitration?
The vast majority of investment disputes are now required to be addressed via arbitration, as per the Financial Industry Regulatory Authority (FINRA). FINRA cases require proficient lawyers, skilled in negotiation, familiar with specialized evidentiary rules, and with strong financial knowledge. Our attorneys can escort you through the FINRA arbitration process. Knowing how to select arbitrators, exploring what types of cases can be heard, and investigating what evidence is admissible are all ways in which our seasoned Las Vegas FINRA arbitration attorneys can aid you. Our team has the acumen to pinpoint and clearly communicate the various ways both brokers and firms can be held to account for the greatest possible damages.
What types of broker negligence and fraud are prosecutable under FINRA arbitration?
Investing is based on a system of tolerable risks balanced with potential for financial rewards. Thus, every investment constitutes some level of risk. The issues arise when an investor client is not fully briefed on the risk involved, the details of the potential payout of the investment, or of any potential conflicts of interest for the broker or investment firm. Every investor has their own unique needs and expectations for how their money should be utilized. When those needs are flagrantly disrespected, brokers have failed to follow suitability criteria. In any of these situations, the trust investors have given to their brokers has been breached, and when financial losses ensue, the broker and firm may be held legally responsible for negligence or fraud.
It is impossible to list all the ways in which a broker or investment firm may be deceitful, duplicitous, or merely negligent in serving their clients. At our firm, we have extensive experience with the most common types of Las Vegas broker misconduct, including:
- Failure to diversify
- Breach of fiduciary duty
- Selling away
- Ponzi schemes
- Suitability claims
- Failure to supervise
If you don’t see your issue listed above but have lost money on investment through the behavior of a broker or investment firm, please do not hesitate to contact us to discuss the specifics of your case.
What types of investments are susceptible to fraud?
Just as brokers or investment firms can be held liable for their actions or for failing to take a particular action, they can also be held responsible for recommending certain investment products that are often associated with fraudulent or misleading claims. The following investment products are rarely suitable for casual investors, due to their high level of risk or inherently concealed attributes:
- Mutual funds
- Master limited partnerships (MLPs)
- Non-traded real estate investment trusts (REITs)
- Closed-end funds
- Penny stocks
Not every investment of these types will lead to a loss or entail misconduct; nevertheless, many of our clients have only seen heartache and financial insolvency result from these ventures.
The Las Vegas securities negligence attorneys at The Frankowski Firm continually work to enhance the knowledge base of investors, as we also argue for the most significant awards possible for our clients who have suffered investment negligence and fraud. We have provided a considerable listing of educational assets for our clients, including explanations of:
- Federal and state securities laws
- The rights that all investors have
- Critical discussions to have with your broker
Each client’s situation is unique. Our lawyers carefully assess every client’s position and answer all of their questions. We seek out financial experts to explore the reasons why a particular investment may have failed to earn, how the broker failed in his or her fiduciary obligations, and what the financial damages resulting from the improper investment administration might be.
Contact us to discuss your claim with a credible Las Vegas attorney today
If you have experienced investment losses, it may not be attributable just to market forces but to broker misconduct. The Las Vegas stockbroker fraud lawyers at The Frankowski Firm put all their experiences and resources to work for you, holding the responsible parties accountable. To explore your case and receive answers to your questions, please call our Las Vegas office at 888-741-7503 or complete our contact form.