We represent investors and institutions in FINRA, JAMS and AAA arbitrations, administrative proceedings, and state and federal court actions. Whether you are an investor reeling from undeserved investment losses, an institution involved in a dispute with your trading partner, or an institution or employee accused of wrongdoing by an investor or regulator, we have the experience to understand, strategically investigate, and prosecute or defend your case to a successful outcome whether through negotiate settlement, mediation or trial.
Annuities and Insurance Products
Annuities, and especially variable annuities, are some of the most complex products sold to investors, who seldom understand what they are buying, how they work, what the risks are, or what the death benefit is. These products are consistently at top of every regulator’s “hot product” list. What can make these products problematic is that firms and advisors who push annuities often do not understand these products any better than their customers, who are often elderly or of limited means. If you or a loved one were sold an annuity, or if you had your annuity “flipped,” an annuity is exchanged for another, especially around or upon the expiration of its surrender penalty period, you should call now for a free case review.
We represent individual investors, brokers, financial advisors, sales assistants, managers, other registered representatives, and financial institutions in securities arbitrations, often before the Financial Industry Regulatory Authority – Dispute Resolution or FINRA. The most common claims we handle include claims involving: asset allocation, breach of fiduciary duty, churning, excessive margin, failure to diversify (over-concentration), failure to supervise, fraud/misrepresentations and omissions, private placements, ponzi and pyramid schemes, and suitability.
The creation, promotion and sale of structure products to retail investors increased substantially before and since the 2008 market collapse. These products, including highly leveraged index, equity and other linked notes and trading strategies, were created for institutional trading desks and investors, and, therefore, can be too complex for investment professionals, and often retail investors, to understand. Not only are these products complex, but very often the potential reward is available from less risky and cheaper alternatives. We have handled numerous cases involving these structured products and know the “hot button” issues that arbitration panels and regulators alike are concerned with, and we can help you investigate and prosecute or defend against these claims.
If your competitor has hired away – or if you are being accused of having hired away - a significant number of branch office or trading desk producers that you may have – or may be facing – a “raiding” claim, which requires fast, in-depth analysis and action that could result in or avoid damages, attorney’s fees, costs and/or interest.
We represent institutional trading partners, such as hedge funds and investment advisors, in trading disputes with their institutional trading partners, whether that means negotiating a resolution that allows our client to salvage a trading relationship or litigating against a dishonest trading partner to secure the trade for which you had negotiated.