Investor Recovery Insights

Practical information for complex financial loss matters.

These materials are for general education only and are not legal advice.

01 / FINRA

How FINRA arbitration works for investment loss claims

Investor claims involving brokerage firms or registered representatives may be resolved through FINRA arbitration. The appropriate forum, filing deadlines, evidence, and available remedies depend on the account documents and facts of the matter.

02 / BROKER CONDUCT

Warning signs of unsuitable investment recommendations

Concentration, leverage, excessive trading, unauthorized activity, and recommendations inconsistent with an investor's objectives can require careful review. Preserve statements, messages, risk profiles, and communications before deleting or altering anything.

03 / PRESERVATION

What documents investors should preserve after discovering fraud

Keep account statements, wire records, subscription agreements, offering materials, emails, text messages, call notes, tax documents, and a dated timeline. Do not communicate with a suspected wrongdoer about legal strategy without first obtaining advice.