Los Angeles Area Securities Lawyer Upholds Your Rights

Experienced Beverly Hills attorney pursues claims against financial advisers

The Law Office of David Harrison, P.C. in Beverly Hills, has successfully represented aggrieved investors in California and across the nation since 2000 with claims against stockbrokers, financial advisers and brokerage firms. If you have been the victim of investment fraud, we will help you identify specific instances of broker misconduct and aggressively pursue your claims in arbitration proceedings before the SEC’s Financial Industry Regulatory Authority.

Seasoned securities lawyer explains common claims of investment mishandling

Brokers and other investment advisers are fiduciaries that, by law, have a duty of care to their clients. They also must follow Standards of Conduct established by the Securities and Exchange Commission (SEC). You could potentially recover restitution and/or damages if you’ve lost money due to:

  • Misrepresentation —Brokers may be held liable if they misrepresent or omit material facts that have a bearing on the quality of the investment, such as company financials, risk factors involved and backgrounds of the company and its executives.
  • Unsuitability — When a broker recommends an investment that is not appropriate for you based upon your financial and tax status or investment objectives, they may be held responsible for any resulting financial loss.
  • Churning of accounts — A broker can be held liable for engaging in excessive or unjustified trading to generate commissions and charging investors unnecessary transaction fees.
  • Failure to supervise — A brokerage firm has a duty to ensure that its individual brokers act properly and adhere to the rules and regulations of the securities industry. When proper safeguards aren’t in place or aren’t followed, the brokerage may be liable for any resulting injuries.
  • Overconcentration — Failure to mitigate your risk by diversifying your portfolio of investments can expose a broker to liability when it causes you a loss.

Through our experience both with defending brokerage firms accused of misconduct and with successfully pursuing claims against them, we are well-versed in identifying potential misconduct and aggressively pursuing optimal results through negotiation or arbitration.

Experienced legal advocate guides you through the FINRA arbitration process

Your agreement with your broker likely requires binding arbitration with the Financial Industry Regulatory Authority (FINRA). In a proceeding similar to a trial, evidence and testimony is heard and weighed and a judgment is entered. A three-member panel is usually appointed, unless the parties agree in writing to only one arbitrator, and the proceeding takes place at a designated location near where you lived at the time of the dispute. We will assist you at all stages of the case, from initial evaluation of your claim through the process of discovery and, finally, at the formal hearing. An arbitration decision is final and not appealable. However, we also pursue negotiation or nonbinding mediation to attempt to reach a favorable settlement. Based on our deep experience, we can make a realistic estimation of the value of your claim and the best path for attaining an optimal result.

Schedule a free consultation from a California securities lawyer to pursue your claim

At The Law Office of David Harrison, P.C. in Beverly Hills, we represent clients across the nation on claims of investment fraud and other misconduct by brokers and financial advisers. Call us at 310-499-4732 or contact us online to schedule a free consultation.

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Office Location

  • Beverly Hills Office


    9454 Wilshire Boulevard
    Suite 820
    Beverly Hills, California 90212