Securities Lawyer Serving Montana

It’s smart to invest and build for the future, and you trust your financial advisor to guide you down the right path. But when your financial professional engages in misconduct and loses your money, it is hard to know what to do next.

There is hope, and we’re here for you in this difficult time. If you have endured investment losses of $100,000 or more due to the misconduct of a stockbroker, advisor, or financial firm, our securities lawyers serving Montana can help.

Our legal team at Meyer Wilson Werning has recovered over $350 million for our clients since 1999. Our nationwide securities lawyers can investigate your claim and help you get the justice you deserve. Contact us today for a free consultation and tell us about your case. 

How Our Attorneys Can Help

If you are the victim of misconduct by a financial professional, you have the right to pursue legal recourse. However, unless you are an attorney with knowledge of financial regulations, this isn’t a battle you want to take on by yourself.

Our securities lawyers serving Montana can help you hold people accountable and fight to recover your losses. While every case is different, some of the ways we may be able to assist you include:

Offering Legal Guidance

We’ll help you understand your rights, explain the legal circumstances surrounding your losses, and assist you in making an informed choice for your next steps. We’re here to help and advocate for you throughout the process. 

Evaluating Your Case

We will thoroughly review your financial profile, losses, and relationship with your financial professionals to understand how they harmed you. We will work to uncover legal violations and breaches of securities regulations.

Representing You in Arbitration 

Most cases of financial misconduct are resolved through arbitration. This is faster and easier than a lengthy courtroom trial. We can file your arbitration claim, help you understand the process, and represent your interests. 

Negotiating on Your Behalf

In some cases, we may pursue your losses through negotiations. We have the experience and knowledge to effectively negotiate on your behalf to recover your losses and make you whole again.

What Damages Can You Recover in a Securities Case?

Once we prove your financial advisor engaged in misconduct and jeopardized your securities, you may be entitled to a range of compensatory damages. These include: 

• The value of your lost money
• Missed dividends and interest
• The cost of any penalties you’ve incurred
• Legal costs and attorney fees

Your attorney can assess your damages and arrive at a fair number that covers your losses, expenses, and penalties. 

Do I Have to Go to Court?

Most securities fraud cases are resolved through arbitration via the Financial Industry Regulatory Authority (FINRA).

The FINRA arbitration process involves submitting a claim, selecting arbitrators, exchanging documents, and presenting evidence during an evidentiary hearing. A panel then renders a binding decision. This method is faster and less formal than court proceedings.

Your securities lawyer serving the state of Montana will help you choose the best path for resolving your case and represent you during the FINRA arbitration process if necessary. 

Types of Advisor Misconduct

Financial professionals have the power to commit all kinds of unscrupulous acts if they so choose. Registered Investment Advisors (RIAs) have a fiduciary duty to act in the best interest of their clients. 

A breach occurs when they prioritize their interests, hide important information, or act in negligent ways that cause harm to their clients. Here are some of the illegal and unethical actions we see most often:

• Ponzi Schemes: A form of fraud that uses capital from new investors to pay previous investors, creating a false appearance of profits without any real investment activity or earnings.
• Failure to Execute: When an advisor neglects or delays executing a client’s trade order, it can lead to missed opportunities or financial losses and may violate industry standards of care.
• Unsuitable Investments: When an advisor promotes securities that do not align with the client’s financial goals, risk tolerance, or profile, violating FINRA’s suitability rules.
• Misrepresentation: Providing false, exaggerated, or misleading information about an investment, leading a client to make an uninformed or harmful decision.
• Unauthorized Trading: Conducting trades in a client’s account without the client’s prior knowledge or consent, violating legal and regulatory obligations to obtain authorization.
• Overconcentration: When an advisor allocates too much of a client’s portfolio into one security, sector, or asset class, increasing risk and potentially breaching the duty to diversify investments.
• Margin Abuse: Improper or excessive use of borrowed funds (or trading on margin) to buy securities, often without fully disclosing the risks to the client, which can lead to losses.
• Churning: Excessive buying and selling of securities in a client’s account to generate commissions, regardless of the client’s needs.

Get Help From a Securities Attorney Serving Montana

It is always disheartening when someone you trust lets you down, but when that person has access to your financial future, they need to answer for their actions. Misconduct by financial professionals has the potential to ruin people’s lives.

When it happens to you, there are ways to fight for your rights, hold people accountable, and recover your losses. But don’t try to handle it alone. Our securities attorneys working with cases in Montana have the experience and knowledge to help you recover what you’ve lost 

Our team at Meyer Wilson Werning is led by industry-renowned trial attorneys with over 75 years of combined experience. Contact us today for a free consultation and find out why U.S. News named us among The Best Lawyers in America.®