Estate Planning Lawyer in Clinton Township
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Securities Arbitration Attorneys in Clinton Township

Legal Assistance with Your Best Interest in Mind

If you’re an investor who has suffered losses due to your financial representative or stock broker’s bad advice, churning, or recommendation of trades that were unsuitable for your investment objectives, get help from the Clinton Township 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.

Call us at (586) 690-4400 today to get started on your case.

Securities Fraud

Our team of securities 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 experience with the securities industry and the problems that can arise in trades involving over-the-counter stocks can give you a significant advantage in the presentation of your claims before a 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, 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 the market indicators that could have shown that the trades were ill-advised, and a clear presentation of the facts to the arbitration panel, supported where necessary by the testimony of a qualified expert.

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 a 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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