Resources

Know your rights, the relevant laws, and what questions to ask BEFORE you agree to an investment

America’s individual and institutional investors have suffered enormous financial losses in recent years due to misrepresentations, omissions, and investment scams perpetrated by brokers and brokerage firms. The Frankowski Firm is dedicated to standing up for investors’ rights. Our attorneys apply proven legal experience to obtain financial justice for the victims of fraudulent investments, Ponzi schemes, and broker misconduct anywhere in the United States.

Here are some of the resources investors can review. As always, investors who have questions or concerns should make an appointment to speak with an attorney at The Frankowski Firm. Our securities negligence and fraud attorneys are ready to answer your questions, review your individual investments, and advise you if you have a valid legal claim. We also review what damages you may be able to recover. Do not assume market forces cause your financial harm. Often times, brokers and brokerage firms failed their legal duty to protect, advise, and serve you.

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Investor Bill of Rights

Victims of investment fraud have a right to seek satisfaction in court or arbitration. Under most financial services contracts, however, consumers are contractually bound to pursue resolution of any dispute through arbitration. The Frankowski Firm has the skill to guide you through this process.

When you invest, you have some basic rights. You should always keep these rights in mind when dealing with your brokers or financial advisors. The more aware you are of your rights, the less chance you have of being cheated. Your Investor Bill of Rights allows you to:

Ask for and receive information from a firm about the work history and background of the person handling your account, as well as information about the firm itself.
Receive complete information about the risks, obligations, and costs of any investment before investing.
Receive recommendations consistent with your financial needs and investment objectives.
Receive a copy of all completed account forms and agreements.
Receive account statements that are accurate and understandable. Understand the terms and conditions of transactions you undertake.
Access your funds in a timely manner and receive information about any restrictions or limitations on access.
Discuss account problems with the branch manager or compliance department of the firm and receive prompt attention to and fair consideration of your concerns. Receive complete information about commissions, sales charges, maintenance or service charges, transaction or redemption fees, and penalties.
Contact your state and provincial securities agency in order to verify the employment and disciplinary history of a securities salesperson and the salesperson’s firm.
Find out if the investment is permitted to be sold or file a complaint.

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