HAVE YOU SUFFERED INVESTMENT LOSSES DUE TO BROKER MISCONDUCT OR INVESTMENT FRAUD?

 

When you entrusted your savings to a broker or financial advisor, you had every expectation that they would act responsibly and ethically on your behalf. If they instead acted to enrich themselves at your expense, they need to be held accountable for their negligence, greed or fraudulent actions. At Caudo Law Group, PLLC, our goal is simple, we want to help recover your losses and hold bad brokers accountable for their actions.

You sacrificed and saved. You did the right thing; planning for your retirement, your children’s education, and your legacy, only to discover that your broker has violated your trust by exposing you to losses through bad investments, negligence, or fraud.

The vast majority of financial advisors are honest and ethical. Unfortunately, the few that act otherwise cause inexcusable losses for good people who have saved their hard-earned money and placed their trust in their advisors. When this occurs, you should recover your losses, and we can help.

 

COMMON TYPES OF BROKER MISCONDUCT

UNSUITABLE INVESTMENTS

EXCESSIVE TRADING

BROKER NEGLIGENCE

CHURNING OR EXCESSIVE TRADING

LACK OF DIVERSIFICATION OR OVER CONCENTRATION

PONZI SCHEMES

RISKY OIL AND GAS INVESTMENTS 

REAL ESTATE INVESTMENT TRUSTS (REITS)

LEVERAGED ETFS

MARGIN TRADING

FAILURE TO SUPERVISE

FAILURE TO EXECUTE TRADES

SELLING AWAY

While many of these cases have similarities, we believe your matter should be treated in a manner unique to your situation. We would be happy to discuss our philosophy with you in greater detail. Kindly contact us for a consultation and portfolio analysis.  

RECOVER YOUR INVESTMENT LOSSES

FINRA (Financial Industry Regulatory Authority) is the governing body that hears matters concerning Broker Misconduct in an Arbitration setting. Representing yourself at an arbitration can be a daunting task. We represent investors at arbitration after filing all necessary documents and analyzing your loss. Our goal is to maximize your recovery in an expeditious fashion. Arbitration can be the quickest way to accomplish this goal. In most cases, the initial agreement you signed with your broker requires that these disputes be decided through arbitration instead of traditional litigation. We can help you determine whether your case is subject to arbitration. In some ways, arbitration can actually be advantageous to you. For instance, arbitration cases are usually decided much quicker than a traditional lawsuit. Overall, we find these arbitrations to be a fair setting for the resolution of your matter. Some cases are settled before attending arbitration and this could be a suitable result on a case to case basis. While many of these cases have similarities, we believe your matter should be treated in a manner unique to your situation. 

Contingent Fee Basis. No Recovery, No Fee.

We represent most clients on a contingent basis. You will not be responsible to pay a fee unless we are successful in making a recovery on your behalf.