Recover Investment Losses

Broker-dealers and connected persons have three main suitability obligations.  First, the reasonable-basis obligations requires that there be a reasonable basis to believe, based on reasonable diligence, that the recommendation is suitable for at least some investors.  Second, the customer-specific obligation requires that there be a reasonable basis to believe that the recommendation is suitable for a particular customer based on that customer’s investment profile.  Finally, quantitative suitability requires that a broker-dealer or associated person who has actual or de facto control over a customer account to have a reasonable basis for believing that a series of recommended transactions, even if suitable on their own, are not excessive or unsuitable for the customer taken together.

if you have suffered losses on investments recommended to you by your broker, then Galvin Legal may be able to help you Recover Investment Losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.

INVESTMENT FRAUD – MISREPRESENTATION

Galvin Legal is a full service securities litigation, arbitration, and mediation law firm that focuses on the representation of investors who have been defrauded by their broker-dealer, financial advisors with employment related litigation and promissory note issues, and broker-dealers requiring regulatory defense, compliance consulting, and other legal services.

Brokers are prohibited from making omitting material facts, misrepresentation, and other types of Investment Fraud.  Even if it was an honest mistake, it does not excuse the fact that it caused you to lose money. You are entitled to seek the recovery of your losses whether they were the result of mistake or fraud.

If you have suffered investment losses, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority arbitration claim.  For a Free Consultation with a securities attorney, call Galvin Legal at 1-800-405-5117.