Securities Litigation

Representing Investors in FINRA Arbitrations

Has your portfolio suffered significant losses?

Let us recoup those losses for you!

Stockbrokers, financial advisors, hedge fund and portfolio managers, and other licensed investment professionals, are required to provide financial advice and implement individualized investment strategies to achieve your investment objectives.

DO YOU HAVE?

An IRA, 401k, or any other investment account at a financial institution, investment bank, wealth management, or financial advisory firms, such as Fidelity, UBS, Morgan Stanley, Charles Schwab, Vanguard, Betterment, E*Trade, JPMorgan Chase, Wells Fargo, TD Ameritrade, or Merrill Lynch?

IS YOUR PORTFOLIO ADEQUATELY DIVERSIFIED?

WERE YOU MISLEAD BY YOUR FINANCIAL ADVISOR?

Did your Financial Advisor:

• Recommend investments, i.e., highly volatile stocks, outside your risk profile/tolerance?
• Ignore your concerns?
• Obtain consent before making a detrimental trade on your behalf?    

If you answered yes to any of these questions:

• Contact our office to schedule a free consultation
• We will review your account statements

What Distinguishes Our Team of Attorneys from Leading Law Firms & Other Industry Professionals:

Prior to joining one of the largest Creditors’ Rights and Commercial Litigation firms in New York State, Jesse C. Cotter, Esq. worked in the New York headquarters of Japan’s largest investment bank.

Our firm’s unique approach to litigating securities claims and representing investors in FINRA arbitrations against major brokerage firms and financial institutions is the product of Jesse’s background in finance and investment banking and our team’s years of experience in the financial industry.

Our team reviews Securities/FINRA Claims collaboratively to develop unique legal strategies on a case-by-case basis to maximize our recovery of your investment losses.

We have extensive experience in the following areas:

• Unsuitability
• Securities fraud
• Churning
• Fund Switching
• Unauthorized trading
• Unlicensed trading