Many investors, whether working people with limited knowledge of the stock market, or highly sophisticated investment advisors, can be the victim of misconduct, fraud or negligence on the part of a broker or investment firm. When a significant financial loss is the result of investment fraud, it is critical that legal action is taken to attempt to recover all of part of the investment loss.
At The Law Offices of Jonathan W. Evans & Associates, our attorneys represent only the investor in these cases, and we have a long track record of success in recovering investment losses after broker or investment firm misconduct or fraud. If your case involves any of the following, our investment loss lawyers can review your case and isolate the areas of fraud or misconduct. You can then move forward with mediation or arbitration to seek to recover your losses.
- Investment Fraud
- Unauthorized Trading
- Investment in a product or company that was unsuitable for the investor due to level of risk or other issue
Investment Loss in Los Angeles, CA
An investment loss claim must be filed with FINRA Dispute Resolution, for brokers and firms that are registered with FINRA, within 6 years of the event or occurrence giving rise to the dispute. From there, the involved parties do have the option to go through mediation. The mediation process is voluntary, but can be initiated at any point in the process of taking action to recover compensation, allowing for a faster resolution to your request to recover investment losses that resulted from fraud, misconduct or other violation. In cases where mediation is not possible, the matter can be resolved in court.
It is true that most investments carry some degree of risk, and millions of people can suffer heavy financial losses in a stock market crash or reversal. It may be assumed that the losses were unavoidable, and stockbrokers or firms could be presenting the facts to you so that you do nothing to recover your investment, when in fact, a violation of securities laws, FINRA Rules, or SEC rules had taken place.
A violation could be related to:
- An investment that was inappropriate based upon your age
- The type of investment and risk
- The broker failed to inform you of the level of risk or other required information
- The trades took place without your approval or knowledge
Each case is unique, and the facts should be reviewed by our investment loss attorneys on an immediate basis. When the case is mediated or arbitrated, you can be certain that the broker or firm will be represented by an attorney with a high level of experience in defending against any charges of misconduct or fraud. You must have equally knowledgeable and professional attorneys on your side to assist you to pursue a recovery of your hard-earned investment money.
Contact our office to get assistance with understanding the details of your investment loss.
Violations of California Regulations Can Result in a Recovery of Investment Losses
There are several types of misconduct or illegal actions that could have taken place and resulted in your investment loss. Certain cases involve excessive trading, termed "churning," in which a broker continued to trade, over and over, to generate commissions and fees that you pay for. There are cases in which unexpected and significant financial losses occurred and the investor had not been correctly informed about the risks and benefits of a specific investment. The broker may have been presented the investment in a false light, and the investor had little or no idea that the investment could be completely lost, or that they would be unable to get their investment back until many years have passed.
Contact Our California Investment Loss Lawyers
Whether your losses were related to a trust, IRA, pension, part of an estate, or were part of your investment portfolio, you need to determine whether you have the possibility of recovering your investment losses. At The Law Offices of Jonathan W. Evans, we have helped our clients throughout southern California recover investment losses for over four decades, and we only represent investors, not stockbrokers. We have represented clients since 1976 in all types of securities fraud, and we are highly skilled litigators. We urge you to contact our law firm in Los Angeles so our investment loss attorneys can analyze your situation and advise you about the possibility of taking legal action to recover your investment losses.
Contact our experienced Los Angeles investment loss attorney for immediate assistance and information.
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