Misrepresentation
False or misleading statements about an investment — promised returns talked up, real risks left out.
Investment Fraud Claims
If a broker or advisor lost your money through fraud or negligence, you may have a claim. We pursue recovery through FINRA arbitration and securities litigation.
What it is
When the person you trusted with your money is the problem
Investment fraud happens when an advisor gets you to buy or sell based on information that isn't true — or fails the basic duty to look out for you.
Sometimes it's outright deception. More often it's quieter: an unsuitable recommendation, trading you never approved, or risks that were downplayed until the losses showed up on your statement. Either way, the law gives you a path to recover — and a deadline to act.
We represent investors against brokers, financial advisors, and the firms that employ them, in state court, federal court, and FINRA arbitration throughout Florida.
Common Types
The forms investment fraud usually takes
Most cases we see fall into one of these patterns. You don't need to know which one fits — that's our job. If any sound familiar, it's worth a call.
Advisor negligence
An advisor's duty is to research and advise honestly. When they don't, and you lose money, that can be a claim.
Unsuitable investments
Recommendations that never fit your age, goals, or risk tolerance — concentrated, illiquid, or far too aggressive.
Churning
Excessive trading in your account to generate commissions, regardless of whether it served your interests.
Unauthorized trading
Trades placed in your account without your consent, outside any authority you actually gave.
Ponzi schemes
Earlier investors paid with new investors' money, faking a return until the money runs out and it collapses.
REITs
Non-traded and illiquid real estate offerings sold without a clear explanation of fees, lockups, or redemption limits.
Private placements
Unregistered offerings that are hard to sell and often pushed on investors who were not suited for the risk.
Elder financial abuse
Pressure, unauthorized changes, or products that drain an older investor's savings.
Failure to supervise
The firm ignored red flags and let a broker keep harming clients.
Breach of fiduciary duty
Advice or fees that served the advisor, not the investor.
Over-concentration
Too much of the account in one stock, sector, or product for the investor's goals.
Reverse churning
Ongoing fees collected while the account sat idle.
Variable annuities
Complex annuity sales with surrender charges and risks that were not explained.
Warning Signs
Signs something may be wrong
Spotting these early can protect what you have left. None of them prove fraud on their own — but together they're worth a closer look.
If you recognize a few of these in your own accounts, save your statements and talk to a lawyer before the deadline to file passes.
- Unsolicited offers, especially with urgency to act now
- High returns promised with little or no risk
- Strategies too complex to explain in plain English
- Vague answers about the investment, the firm, or the fees
- Account activity or trades you don't remember authorizing
How it works
From first call to recovery
Tell us what happened. We'll give you an honest read on what's possible — then do the work.
01 — Case review
We review your case at no cost
We listen, ask the hard questions, and assess whether you have a viable claim. No false promises.
02 — Investigation
We build the record
Account statements, broker records, regulatory filings — we identify the misconduct and document the damages.
03 — Arbitration or litigation
We file in the right forum
Most brokerage claims go to FINRA arbitration. We also litigate in state and federal court when the case demands it.
04 — Recovery
We account for any recovery
If there is a recovery, we handle distribution and account for every dollar. The fee arrangement — hourly or contingency — is explained before you hire us.
Common Questions
What investors ask us first
Plain answers to the questions we hear most. Yours not here? Ask us directly — the consultation is free.
How do fees work?
The consultation is free. Some matters are hourly, and some are contingency. On a contingency matter — No Recovery, No Fee — we do not collect an attorney's fee unless we recover for you. That fee is a percentage of the recovery. In some litigated matters we advance costs and expenses; those advanced costs are recovered from the gross recovery of any verdict or settlement. We explain the arrangement before you hire us.
How do I know if I have a claim?
That's exactly what the free review is for. We look at your statements, the recommendations made, and how your account was handled, then tell you honestly whether it meets the bar.
Is there a deadline to file?
Yes. FINRA has a six-year eligibility rule, and Florida law sets its own limits for certain claims. The clock matters — the sooner you call, the more options you keep.
What is FINRA arbitration?
A private dispute-resolution forum that brokerage firms require their customers to use instead of court. It's where most investment fraud claims are decided, and it's where we work every day.
Free Consultation
Talk to us. The consultation is free.
Tell us what happened and we'll give you an honest assessment of what's possible.
St. Petersburg office
260 1st Ave. South, Suite 200-168
Saint Petersburg, FL 33701
By appointment only
The consultation is free. Some matters are hourly, and some are contingency. On a contingency matter — No Recovery, No Fee — we do not collect an attorney's fee unless we recover for you. That fee is a percentage of the recovery. In some litigated matters we advance costs and expenses; those advanced costs are recovered from the gross recovery of any verdict or settlement. We explain the arrangement before you hire us.
