Sophisticated Sacramento Investment Fraud and Securities Negligence Attorneys Protecting Investors

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.

What are some types of broker negligence and fraud we handle?

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:

• Preferred duration of the investment
• Potential for return
• Level of risk
• Level of transparency

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:

• Fraud
• Negligence
• Failure to diversify
• Breach of fiduciary duty
• Churning
• Selling away
• Ponzi schemes
• Suitability claims
• Failure to supervise

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:

• Mutual funds
• Master limited partnerships (MLPs)
• Non-traded real estate investment trusts (REITs)
• Closed-end funds
• Penny stocks

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.

What is the FINRA arbitration process?

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.

How can you tell if you have a securities arbitration claim?

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.

How do our lawyers support investors?

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:

• Federal and state securities laws
• The rights that all investors have
• Critical discussions to have with your broker

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.

Explore your claim with a conscientious Sacramento broker negligence attorney today

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.