If you think you may have become the victim of investment fraud, or want to assert a claim against your stock broker, it is important to consult with a qualified investment fraud lawyer in your area, and not a general law practitioner.

If you think you may have become the victim of investment fraud, or want to assert a claim against your stock broker, it is important to consult with a qualified investment fraud lawyer in your area, and not a general law practitioner.

The reason for this is that securities and investment law is a complicated and vast area of law, with lots of laws, rules and regulations, and a vast amount of case law to keep on top of. Further, litigation can be increasingly complicated because of arbitration provisions in many investment contracts requiring investors to take their cases to FINRA arbitration, and not just to court. Although there is no special certification required to be considered a securities attorney, there is a learning curve involved with all these rules and regulations, and experience may reduce the amount of time needed to learn how to best deal with your particular case.

Ideally you should choose an attorney who has experience in both FINRA arbitration and court litigation, because at the outset of your case it may not be apparent which is appropriate to your circumstances.

A qualified attorney who practices frequently in the area of investment and securities fraud can help you with the following:

  • Reviewing your documentation and facts presented to determine whether you have a potentially viable claim
  • Helping you determine the deadlines to assert your claims
  • Identify whether your case should be started in FINRA arbitration or in a court of law
  • Identifying the applicable legal theories under which you may obtain relief
  • Walking you through the sometimes complicated process of litigation or arbitration, explaining what information is needed from you and what you need to do to assist in your own case