Estate Planning Lawyer in Chesterfield
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Securities Arbitration Attorneys in Chesterfield

Protecting Your From Wrongful Investment Loss

Are you an investor who suffered losses due to your financial representative or stock broker’s bad advice, churning, or recommendation of trades unsuitable for your investment objectives? Get help from the securities arbitration lawyers at Penzien & McBride. We can represent you in FINRA arbitration proceedings and present the strongest case possible for compensation for any breach of fiduciary duty.

Seek the compensation you deserve. Call our office in Chesterfield, MI at (586) 690-4400 today to get started on your case.

Securities Fraud

Our team of investment fraud attorneys have experience with the investigation and proof of claims in stockbroker arbitration hearings. We can represent you on suitability claims, allegations of stockbroker fraud, or disputes over margin calls.

Our lawyers have extensive experience with the securities industry and the problems that can arise in trades involving over-the-counter stocks. This experience can give you a significant advantage in the presentation of your claims before an FINRA panel or in any other securities arbitration proceeding.

Securities Litigation

Our approach to the litigation of arbitration cases involves a careful analysis of the circumstances of the trades at issue. These include:

  • An examination of the measures taken by the broker to identify your investment goals and risk tolerance
  • Investigation of the record of the broker’s performance in similar circumstances or past disciplinary history
  • Review of market indicators possibly indicating the trades were ill-advised
  • A clear presentation of facts to the arbitration panel supported by the testimony of a qualified expert where necessary

If you are wondering whether you can sue your stockbroker or financial adviser for losses you have suffered in your investment accounts, allow Penzien & McBride to evaluate your situation and determine if an FINRA arbitration should be pursued.

Our understanding of the licensing standards and trading rules of FINRA, the New York Stock Exchange, and the commodities markets can also help brokers and dealers facing action against their licenses or other disciplinary proceedings. Whether you’re facing an SEC investigation or charges, or a complaint from a state licensing board, we can help you.

For additional information about our experience in FINRA, NYSE licensing, or disciplinary cases, contact us at (586) 690-4400.

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