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 The role of a broker or investment advisor is to make specific suggestions for their investment clients, according to a set of boundaries. Those boundaries are collectively known as suitability.
Our securities arbitration attorneys are always on the cutting edge of advocacy for Sacramento investors. In legal cases, we have successfully received the most substantial awards possible for our clients who have endured investment negligence and fraud. We offer a wide array of educational assets for our clients, including information regarding:
No two legal situations are identical. At The Frankowski Firm, our Sacramento investors’ rights lawyers carefully appraise every client’s position and speak directly to each of their concerns. We explain in depth the causes of why a specific investment may have failed, how the investment broker was remiss in his or her fiduciary obligations, and what the financial awards resulting from the improper investment administration could be.
Fighting for investors who have been misled and abused by remiss stockbrokers
The Frankowski Firm is an established name in investment law, working with investors whose trust has been abused by negligent or criminal brokers or investment advisors. As experienced and knowledgeable FINRA arbitration counselors in Sacramento, as well as trial lawyers, we fight for investors—small and large—who have suffered losses through the activities or inaction of investment companies and brokerage firms. We put forth reliable and experienced legal representation for those investors who have been duped or led into unwise investments through illegal or fraudulent means.
The role of a broker or investment advisor is to make specific suggestions for their investment clients, according to a set of boundaries. Those boundaries are collectively known as suitability, and include:
When those suitability guidelines are willfully disregarded, or intentionally subverted in order for the broker to make a personal profit, the investor’s rights are being flagrantly violated. There are as many ways to disrespect and abuse the trust of investors. Our Sacramento stockbroker fraud attorneys are familiar with all aspects of broker misconduct, including:
Investing is, by nature, a risk. The market’s fluctuations are what offer some a return and others a loss. However, when that loss was due not to market forces but to a firm or stockbroker’s misconduct, you may have sufficient grounds for a winning lawsuit. After demonstrating that a loss has occurred, the next step in the legal process is to establish that the loss was the direct result of the actions, or lack thereof, of a broker or investment firm. Securities litigation is a particularly complicated area of the legal system, and it is vital to have a lawyer who is fluent in all the relevant terms and details. Our team of practiced Sacramento securities arbitration attorneys at The Frankowski Firm has the legal, financial, and hands-on experience with FINRA cases to fully safeguard investors’ rights.
The majority of investment conflicts now requires arbitration, as per the Financial Industry Regulatory Authority (FINRA). FINRA cases require attorneys to have further training, be skilled in negotiation, be familiar with a unique evidentiary system, and bring strong financial knowledge to bear on our clients’ cases. We can guide you through the FINRA arbitration process, from assessing whether you have a valid claim to gathering evidence and understanding the timeline. Our experienced Sacramento FINRA arbitration attorneys not only understand the ways to successfully navigate the nuances of the FINRA arbitration process, they will also work diligently to be sure that you receive the highest possible financial damage award.
Investing losses are not always derived from the vagaries of market forces; instead the duplicitous actions of a broker or investment advisor may have resulted in the investment’s failure to perform. The securities investment lawyers at The Frankowski Firm put years of hands-on experience and wide-ranging resources to work to gain justice for investors. To discuss your case and receive answers to your questions, please call our Sacramento office at 888-741-7503 or complete our contact form..
Sadly, there continue to be new schemes devised by unethical brokers to bilk investors, so if you do not see your issue listed, please contact us to discuss the specifics of your situation. In the same way that brokers or investment firms are legally bound to make suggestions on investments that are suitable to each client’s unique situation, needs, and desires, the products that are recommended are also constrained by similar ideals. We have seen inexperienced investors deliberately misled into involvement with the following investment products, most of which are entirely unsuitable for all but the savviest of investors:
These funds are far less predictable than other products, and often come with higher firms and charges than you might originally anticipate.
The risks of these investments are numerous and the only incentive is the rare potential for high returns. Because of the untenably high risks involved, these are rarely suitable for unwitting investors.
As illiquid, low regulation investments with high upfront fees, these are unstable and are frequently created through conflicts of interest that benefit the broker at the cost of the investor’s potential profit.
(CEF) can carry some risks that the average investor may not have sufficient tolerance for. They may be more beneficial for the broker because they receive a commission every time a CEF is purchased or sold.
Because the value of these products – usually under $5.00 per share – is so low, it can be hard to value them adequately. They are generally not listed by NASDAQ or the NYSE, and brokers must take additional care when recommending them.
While some of these investment products may earn a profit for a small portion of investors, more often they entail some type of lack of transparency that leads to abuse and financial losses.
When investors trust a broker or investment firm, they expect advice that helps them make money. But if the advice is bad on purpose, or the products aren’t right for the investor, the broker or firm might be responsible for any losses. The Nashville investment fraud attorneys at The Frankowski Firm know how to help investors who’ve been treated unfairly. If you have questions or want to talk about your situation, you can call our Nashville office at 888-741-7503 or fill out our contact form. We have the experience to get justice for investors who’ve been wronged.
Sacramento investment fraud attorneys handle cases involving Ponzi schemes, broker misconduct, unauthorized trading, unsuitable investment recommendations, and failure to disclose risks or conflicts of interest.
Negligence may involve failing to assess your risk tolerance, placing you in inappropriate investments, or not providing adequate disclosures. If your portfolio experienced losses that don’t align with your financial goals, legal review is recommended.
You may be able to recover losses through FINRA arbitration, civil litigation, or negotiated settlements. A qualified attorney can assess your case and guide you through the best course of action.
Most securities attorneys offer free initial consultations, and many work on a contingency basis—meaning you don’t pay unless they recover funds for you. Always confirm the fee structure during your first meeting.
The recoveries, verdicts, favorable outcomes, and testimonials described on this site are not an indication of future results. Every case is different, and regardless of what friends, family, or other individuals may say about what a case is worth, each case must be evaluated on its own facts and circumstances as they apply to the law. The valuation of a case depends on facts, the damages, the jurisdiction, the venue, the witnesses, the parties, and the testimony, among many other factors. No representation is made that the quality of the legal services performed is greater than the quality of the legal services performed by other lawyers.
Disclaimer: Mr. Frankowski is licensed in Alabama,Florida and Texas. He is not licensed in any other state including Nevada and California. Mr. Frankowski has represented investors from all over the country in securities cases including: Alabama, California, Colorado, Florida, Georgia, Illinois, Kentucky, Louisiana, Mississippi, Nevada, New Mexico New York, North Carolina, Tennessee, Texas. No representation is made that the quality of the legal services to be performed is greater than the quality of legal services performed by other lawyers. The hiring of a lawyer is an important decision that should not be based solely upon advertisements. The attorney’s website is not intended to be an advertisement or solicitation.
