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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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614-224-6000
305 W. Nationwide Blvd
Columbus, OH 43215
Meyer Wilson
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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
6140 Parkland Blvd.,
Suite 330
Mayfield Heights, OH 44124
Bloomfield Hills Office

248-817-8214
41000 Woodward Ave.,
Suite 350
Bloomfield Hills, MI 48304
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