Securities Lawyer Serving San Jose

Smart investments can pave the way to a bright future for you and your family, and a skilled financial advisor can help you find your way down that road. Unfortunately, some financial professionals take advantage of their positions, and their misdeeds cause tremendous damage.

If you’ve incurred financial losses of over $100,000 because of the misconduct of a financial advisor or stockbroker, you’re probably frustrated and uncertain about what happens next. Our securities lawyers serving San Jose can help you fight to regain what is yours. 

Our California securities lawyers at Meyer Wilson have helped us recover over $350 million for our clients since 1999. Contact us today to schedule a free consultation and tell us what happened.

What Is Fiduciary Duty?

If your advisor is a Registered Investment Advisor, they have a fiduciary duty to you. This means they are both legally and ethically required to act in your best interests while they are overseeing your investment account.

If they disregard this duty and instead engage in misconduct that causes you actual harm, you have the right to seek damages. Our nationwide securities lawyers can hold your financial professionals accountable and fight to recover your lost funds.

Not all financial advisors have a fiduciary duty, but that doesn’t absolve them if they commit misconduct that causes financial damages. They can still face criminal and civil consequences for their actions. 

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How Our Attorneys Can Help

While every case is unique, some of the ways our securities attorneys serving San Jose may be able to help you get the justice you deserve include:

Free Consultations

It costs nothing to talk to us and tell us what happened. We’ll give you our assessment of your case and let you know if it is worth pursuing. If we agree that you’ve been a victim of advisor misconduct and you wish to hire us, we’ll begin forming a strategy for your case. 

Keep in mind, though, that we can only help if a broker or investment advisor played a role in your losses. 

Filing Your Complaint

We can help you through the process of filing your complaint with the Financial Industry Regulatory Authority (FINRA). This is the start of the process, and if FINRA finds merit in your complaint, it will likely take disciplinary action against your former advisor. 

Filing Civil Charges

While your complaint with the Financial Industry Regulatory Authority will probably result in legal problems for your former advisor, it won’t help you get your money back. For that, we can help you file civil litigation against your former advisor or their firm. 

Representing You During Arbitration

Instead of a civil trial, most likely your case will be resolved via the FINRA arbitration process. We can help you prepare for arbitration and represent you during proceedings. Arbitration is faster and easier than a civil trial, and it’s often mandated in your contract with your advisor. 

Representing You During Negotiations

In some cases, we may settle your case through negotiations. Our team has the experience and knowledge to represent your interests during the negotiation process. The intent is to recover maximum compensation that fully covers your losses. 

Affordable Representation

Our team works on a contingency fee basis, which means we don’t get paid until we recover money for you. Then, we take our fees out of your final settlement or award. This means our services are affordable for most people who need us. 

Damages in a Securities Misconduct Case

Our securities attorneys serving the San Jose area will work to make sure all of your costs, expenses, and losses are accounted for. While every case is different, you may be able to recover:

• The total value of your investment losses
• Any dividends or interests you could have earned
• The cost of the penalties you suffered because of your advisor’s action
• Legal fees and expenses (billed through contingency fees)

As per California Civil Code Section 3294, you may also be entitled to exemplary damages if your former advisor acted with oppression, fraud, or malice. Exemplary damages are also referred to as punitive damages, and your attorney can advise you if they apply to your case. 

Our lawyers are nationwide leaders in investment fraud cases.

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Common Types of Misconduct

If there is a way to take advantage of people’s money, corrupt financial advisors will find it. Here are some of the unfortunate schemes we’ve seen:

• Churning: Overtrading in a client’s account mainly to create commissions for the broker or advisor
• Ponzi Schemes: Using funds from new investors to deliver false returns to earlier investors, making it seem like the investment is paying off
• Unauthorized Trading: Trading in a client’s account without their knowledge or consent
• Cherry Picking: Saving the most lucrative trades or investments for preferred accounts while allocating less advantageous trades to other clients
• Overconcentration: Focusing a disproportionate share of a client’s portfolio on one security in order to benefit the advisor
• Unsuitable Investments: Recommending investments that conflict with a client’s goals or risk level
• Margin Abuse: Allowing a client to engage in margin trading without full risk disclosure, to the benefit of the advisor
• Failure to Execute: When an advisor fails to make trades based on their client’s instructions
• Misrepresentation: Misleading a client with false information or via omission and causing them to make decisions they may not have made with the full set of facts

If you have reason to think your advisor has engaged in any of the illegal activities above or any other, contact a securities lawyer as soon as possible. 

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Get Help from a Securities Attorney Serving San Jose

You trusted your advisor to have your best interests in mind at all times and help you make smart choices that would benefit you and your family. Instead, they betrayed your trust and put your financial future in jeopardy.

It’s frustrating, and no one could blame you if you are angry, but this isn’t the end of the story. Our securities attorneys serving San Jose can help you hold your former advisor accountable for their actions and recover compensation for what you’ve lost. 

The team at Meyer Wilson has over 75 years of combined experience fighting for the rights of our clients. Contact us today for a free consultation and to find out how we can help you with your case. 

Recovering Losses Caused by Investment Misconduct.

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