Sacramento FINRA Arbitration Lawyers Advocating on Behalf of Investors

If want to make a claim against a broker or investment firm in California, you have rights

Using an investment or brokerage firm is intended to accomplish two goals. One, to provide additional expert advice on investment choices and options, and two, to free you as an investor from the tedious, day-to-day minutiae of managing a financial venture. If the brokerage firm you chose engages in misconduct, a California FINRA arbitration attorney can assist you in seeking compensation.

When you decide to take monies you have earned and invest them, there is risk involved. However, with an investment firm or broker, the expectation is that you will be treated in a straightforward and transparent manner. Should that expectation fail, we are prepared to assist you in all steps of the FINRA arbitration process. At The Frankowski Firm, our wisdom and knowledge, combined with hands-on experience in the field, allows us to aid our clients, win our cases, and enhance our reputation as protectors of investors from all walks of life.

Investor rights

Financial advisors have a fiduciary duty to put the interests of their clients above their own desire for commissions. A fiduciary duty means that the advisor will act with the client’s best interest in mind, holding up the standards of loyalty and care.  When an advisor breaches their fiduciary duty, the client has rights.

  • The right to proper representation. This right involves the investor getting accurate and complete information about any potential trades or services, including but not limited to potential risks, full costs with any applicable fees, and any conflicts of interest.
  • The right to appropriate times of contact and decision-making. It’s not always a bad sign to receive a call out of the blue from your broker about a great opportunity; however, when combined with a high-pressure sales technique, this becomes predatory. You are entitled to have appropriate amounts of time to consider your options, without undue coercion.
  • The right to having your investment needs respected. There is no one model of the typical investor. They may vary in the dollar value invested, the preferred time frame for each transaction, the risk vs. reward desired, and even in which realms they prefer to invest. Your preferences and needs carry weight, and when a broker or investment firm steamrolls over those priorities, misconduct is involved.
  • The right to consent on all trades. Whether verbally or in writing, or even through email or text, the investor’s consent is utterly necessary on every single transaction made in his or her name, assuming the account is non-discretionary. Anytime this right is infringed on, red flags go up that if the investor hasn’t personally agreed to the trade, the brokerage firm may be intentionally manipulating the client for profit.

Sacramento FINRA attorneys defend your authority over your investments

Should a situation arise in which you believe your advisor broke their fiduciary duty to you, please know that our California FINRA arbitration attorneys are ready and able to assist you in seeking justice. Investment has its hazards but professional wrongdoing need never be one of them. If you or someone you know in Sacramento has been misled or mishandled by an investment professional or is considering FINRA arbitration, call 888.741.7503 or fill out our contact form to explore how we may be of assistance.