Investor Rights

Investors have a right to seek redress

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 expertise to guide you through this process.

The Investor Bill of Rights

As in life, 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.

Contact The Frankowski Firm today

If you believe your rights as an investor were violated by a broker or brokerage firm, we invite you to call The Frankowski Firm at 888.741.7503 to schedule a free consultation with an accomplished securities lawyer. You may also contact us for a prompt response to your important questions or to request a case evaluation.