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Do I have a claim against my stockbroker or other investment advisor?

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Do I Have a Claim?
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If your investment advisor acted improperly under the law, you may pursue a claim. You need to retain a qualified attorney to evaluate your claim to discover your rights. (see our section on Common Types of Claims)

Most brokers have their clients sign an agreement at the time of opening an account to arbitrate any dispute. In 1987, the United States Supreme Court ruled that such agreements are enforceable. One exception is class action suits brought on behalf of multiple aggrieved parties. However, class action lawsuits generally have not been very successful for individual investors and, in any event, may take many years before coming to final resolution.

Accordingly, a three-person arbitration hearing is the common forum for most investors that seek recovery of their losses against their broker that mistreated them. The National Association of Security Dealers (NASD) dispute resolution division processes most of the arbitrations dealing with the security industries. The New York Stock Exchange (NYSE) handles many of the remaining arbitration claims.

Contact a John Bales Florida Securities Lawyer today! Complete a FREE Online Consultation Form or Call us toll free 1-800-CALL JOHN (1-800-225-5564) 24 hours, 7 days a week!

Merrill Lynch | Do I Have a Claim | Common Types of Claims | Bill of Rights | FAQ | Resources | Free Case Evaluation

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