Securities Arbitration

Marquardt Law Office LLC focuses on representing investors in securities arbitration and litigation claims to recover losses caused by broker or brokerage firm negligence or fraud.  The firm investigates and files claims on behalf of investors against their financial advisors, investment brokers, and/or the financial institutions that employed them.  Investors may pursue claims not only for serious fraud such as broker theft and misrepresentations, but also for losses resulting from carelessness or neglect.

Representations of investors are handled on a contingency basis, meaning clients only pay an attorney fee if the firm is successful in obtaining a recovery for the client.

Most cases are resolved through Financial Industry Regulatory Authority, Inc. (FINRA) arbitration.  The Securities and Exchange Commission (SEC), FINRA, and state regulators protect investors by penalizing bad brokers, but they are not investors’ private representatives.  FINRA helps investors recover losses by operating an arbitration venue allowing investors to pursue private claims.  Securities attorneys represent investors in those claims.  The following are common investor claims.

• Breach of Contract
• Breach of Fiduciary Duty
• Excessive Trading and Churning
• Failure to Supervise
• Fraud
• Misrepresentations and Omissions
• Negligence of Broker
• Ponzi Schemes
• Unauthorized Trading
• Unsuitable Investments and Strategies

You may read more about FINRA arbitration and investor claims on the firm’s Frequently Asked Questions page.

Marquardt Law Office LLC provides free case evaluations regarding investor claims.  Contact the firm to discuss whether you have a claim for your investment losses.

You worked hard for your savings, and Marquardt Law Office LLC works hard to protect it.