Recovering Investment Losses for Stockbroker Malpractice and Fraud
We represent investors nationwide who are seeking damages due to stockbroker malpractice and securities fraud.
For more than 25 years we have represented individuals from across the United States and abroad and have recovered millions in damages from the well known major brokerage firms as well scores of regional and local brokerage firms. We have a proven track record of success in securities law, FINRA arbitration and stockbroker malpractice and have been quoted various business and news sources, including the Wall Street Journal as well as numerous national, regional and local publications.
We Understand That the Decision to Pursue Your Claim May be Difficult
Making the decision to file a FINRA arbitration claim in order to pursue recovery of losses from a once trusted financial advisor is not an easy decision for many. Most of our clients have never been involved in litigation and we understand that. If you have such concern, talk to us and we will address those concerns.
Can You Afford Not to Pursue Your Claim?
If you are retired, or if you anticipate retiring in the near future, you should consider whether you can afford not to pursue your potential claim for damages. If your losses represent a significant part of your retirement fund nest egg, how will you replace that lost capital if you don’t pursue a valid claim?
Most of our clients are elderly and/or retired. The funds lost as a result of the mismanagement of an account can make it difficult, or impossible, to meet daily living expenses or health care costs.
We understand the importance of maximizing your recovery.
Call or contact us through our online contact form for a no charge consultation to evaluate your potential claim. If we determine that your broker or brokerage firm acted irresponsibly, and you afford us the privilege of representing you, we will vigorously pursue your case.
We pride ourselves in the personal attention we provide to our clients.
Nationwide Representation and Beyond
In addition to handling cases for U.S. clients, over the years we have handled securities cases for residents of Canada, Chile, Colombia, Finland, France, México, Netherlands, San Salvador, Spain, Venezuela, the United Kingdom and the Channel Islands.
Most cases are handled on a contingent fee basis, meaning that unless we are successful, there is no fee.
Call one of the numbers below to speak with an experienced securities attorney or use the Contact Form.
Dickenson Murphy Rex & Sloan is a partnership of professional corporations comprised of: Dickenson Rex and Sloan, P.A., Dickenson Law, P.A., T.N. Murphy, Jr., P.A., Law Office of Robert H. Rex, P.C., and Barbara A. Sloan, P.A.
Former Vanderbilt Securities Broker Mark Kaplan Barred from Securities Industry for Account Churning
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FINRA Disciplinary Actions
The Financial Industry Regulatory Authority, (FINRA) is the largest independent regulator of securities firms and their brokers in the United States. FINRA publishes disciplinary actions involving stock brokers and brokerage firms on a monthly & quarterly basis. These actions can range from fines, restrictions on ability to trade and temporary suspensions to a complete bar from the securities industry. FINRA Investor Webpage
FINRA Broker Check
FINRA maintains a data base containing the employment history, educational history, licensing history, regulatory issues and customer complaints for every licensed broker and brokerage firm in the country. Investors would be wise to review the record of their current or potential new broker. These public records may accessed on the FINRA BrokerCheck website.