The Kueser Law Firm focuses on representing individuals, groups, and companies in securities arbitration and litigation. Unfortunately, many people do not know their stockbroker, investment advisor, or, in some cases, even their insurance agent has a duty to provide competent advice, which includes full disclosure of all risks related to any investments they recommend. Also, most people do not know these professionals can be liable for losses related to these investments.
What Claims Are Available in Securities Arbitration and Litigation Cases?
Investment-related cases generally involve claims of securities fraud, unsuitability, churning, and unauthorized trading. In addition, securities cases often involve claims such as negligence, breach of contract, and breach of fiduciary duty. You can find more information about these claims on our Current Investigations page.
Securities claims are usually fact specific and whether an investor has a case depends on a variety of factors. Regardless, most securities cases involve investment losses or significant decline in the value of an investor’s account(s). However, the stockbroker/financial advisor’s conduct – and the client’s conduct – are also factors to consider.
Are Losses in an Investor’s Account a Clear Sign of Misconduct by a Stockbroker or Financial Advisor?
Losses in an investment or an account alone do not provide the basis for a securities claim. Rather, you must determine if the conduct that led to the losses provides the basis for a claim.
Investment losses are often merely attributable to a decline in the stock market. However, a decline in the stock market does not necessarily mean an investor does not have a claim. Therefore, if you are concerned about activity or losses in your account, it is important to get an opinion from a securities arbitration attorney.
Most Securities and Investment Cases are Brought in Arbitration.
Most investment firms require customers to sign documentation that includes a pre-dispute arbitration agreement. As a result, most securities cases are filed in FINRA arbitration. The securities arbitration process can be very similar to litigation. Specifically, arbitration involves filing various pleadings and motions, discovery, briefing, and hearings. As such, the arbitration process is very complex. Consequently, an investor should work with a securities arbitration attorney if they decide to bring a case against their stockbroker, financial advisor, or brokerage firm.
The Kueser Law Firm Has Handled a Wide Variety of Securities Arbitration and Litigation Cases.
Jason M. Kueser has experience representing clients in securities arbitration and litigation cases. Because each claim – and each client – are different, the firm takes a personalized approach in each case. Furthermore, the firm takes a step-by-step approach in explaining each client’s options, rights, and risks. Our experience in the financial services industry provides the firm with a number of advantages. First, we can help clients evaluate their cases quickly and inexpensively (sometimes at no cost). Second, we have the ability to guide our clients through the arbitration or litigation process.
Mr. Kueser has recovered millions of dollars for his clients in arbitration and litigation. However, past results afford no guarantee of future results. Rather, each case must be judged on its own merits.
If you would like more information about our securities arbitration and litigation practice, or if you would like to discuss whether you may have been a victim of securities fraud or other misconduct by your investment professional, please complete the form to the below and an attorney will contact you.
CONTACT THE KUESER LAW FIRM
If you require immediate assistance, please call The Kueser Law Firm at (816) 374-5865.