Recovering Losses for Investors

Here to recover your losses due to financial advisor or broker neglect, negligence, or fraud.

Marquardt Law Office LLC is a securities law firm dedicated to recovering financial losses for investors nationwide through FINRA arbitration and other means.

Investors who have suffered losses due to negligence, fraud, or other misconduct hire the firm to represent them in securities arbitration claims and lawsuits to recover their losses from financial professionals and institutions.

Marquardt Law Office LLC also provides business and regulatory counseling and consumer representation.

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Nearly all securities disputes are handled through FINRA arbitration.

The SEC and FINRA protect investors by penalizing bad brokers, but they do not represent individual investors.  FINRA operates the world’s largest securities arbitration venue, which is where nearly all investor claims for losses caused by misconduct are filed.  Securities attorneys represent investors in FINRA arbitrations.  It is your right to pursue your claim, and private actions are integral checks on financial professionals and institutions that alert others in harm’s way.

Individual Attention

Marquardt Law Office LLC handles each case with care and consideration.  Clients are treated like people rather than numbers.  Any questions about a case or potential case will be answered promptly.  Adam J. Marquardt respects his clients and understands that every case is important.

Dedicated to Fighting Fraud

Adam J. Marquardt is passionate about confronting fraud and seeking justice.  He recovers investment losses as a securities attorney.  Previously, he litigated whistleblower cases to recover taxes withheld from the government due to fraud and represented individuals in civil cases.  He also protected the investing public and market integrity working at FINRA and ensured financial compliance auditing companies.

Financial and Legal Experience

Adam J. Marquardt is both a licensed attorney and Certified Public Accountant.  In addition to his experience as an attorney, he has worked on financial matters at accounting firms, corporations, and FINRA.

Convenient

Marquardt Law Office LLC will keep you informed about the status of your case.  For your convenience, you may submit and receive documents electronically through the firm’s secure links and use an e-signature to complete paperwork when necessary.

Frequently Asked Questions

Do I have a claim?

If you have suffered losses due to the fraud or neglect of your financial advisor, broker, or brokerage firm, you may have a claim.  Every situation is different and requires complex legal analysis.  Contact a securities attorney to discuss your situation.

How can I recover my investment losses due to broker misconduct?

A securities attorney specializing in investment arbitrations can evaluate your claim to determine your recovery options and handle every step of your litigation process.  Nearly all securities arbitration claims are handled in FINRA arbitration.

What is FINRA arbitration?

FINRA arbitration is a streamlined litigation process in which parties are typically represented by securities attorneys in claims filed by investors that are overseen by one or three arbitrators.  Claims resolve more quickly than cases in court, and generally with less costs.

Customer Disputes against broker John Stephen Pronovost for Unsuitable Mutual Fund

According to FINRA public records, broker John Stephen Pronovost has four disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Pronovost between March and May 2018.  The claims request damages amounts between $26,044.79 and $150,000.  All claims are pending.  Disputes against Pronovost allege

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Allegations of Excessive Trading and Unsuitable Investment Recommendation for Merrill Lynch Broker Charles Kenahan

According to FINRA public records, broker Charles Ernest Kenahan has three disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Kenahan between February 2018 and May 2018.  All claims are pending and allege excessive trading and unsuitable investment recommendations.  The most recent claim

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Customer Disputes Allege Unpaid Loans by Barred Broker Gregory Levine

According to FINRA public records, former broker Gregory Alan Levine (Greg Alan Levine) has five disclosed customer disputes.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates brokers and brokerage firms. Customers filed the disputes against Levine between June 2015 and March 2018.  All claims have settled for payouts ranging from $2,589 to $155,000. The

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