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I Feel That the Brokerage Firm Was Not Adequately Supervising My Advisor and That Is Why I Lost Money on My Investments. What Should I Do?

When a financial advisor is negligent or acts in an unlawful manner, the brokerage firm could be held legally responsible for your financial losses. Brokerage firms must supervise their brokers to ensure compliance with the rules of the securities industry. In addition, brokerage firms are required to properly train brokers and to make certain that they have the appropriate licenses. A failure to supervise claim is nearly always handled in arbitration before the Financial Industry Regulatory Industry (FINRA).

 

Keep in mind that not every law firm has the experience and knowledge to handle this type of investment misconduct claim. The investment misconduct attorneys at Meyer Wilson represent clients in arbitration, litigation, mediation and class action lawsuits. Our lawyers represent investors nationwide in securities arbitration and litigation claims. For a free case evaluation, contact us by filling out our online contact form.

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945 East Paces Ferry Road, Suite 2275
Atlanta, GA 30326
Columbus Office

614-224-6000
305 W. Nationwide Blvd
Columbus, OH 43215
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900 Camp Street 
Suite 337
New Orleans, LA 70130
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310-905-8688
2029 Century Park East,
Suite 400N
Los Angeles, CA 90067
Cleveland Office

216-600-1355
4781 Richmond Rd.
Suite 400
Warrensville Heights, OH 44128
Bloomfield Hills Office

248-817-8214
41000 Woodward Ave.,
Suite 350
Bloomfield Hills, MI 48304
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The information contained in this Website is provided for informational purposes only, and should not be construed as legal advice on any subject matter.
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