Our nationally recognized investment fraud attorneys have recovered more than $400 million for clients around the world.
We serve clients all over the United States including, but not limited to: Arizona, California, Florida, Illinois, New Jersey, New York, Pennsylvania, and Texas.
Successful Recoveries
for Defrauded Investors
Did a Financial Advisor’s Misconduct Harm You? Our Lawyers Can Help
Brokerage firms and financial advisors hold positions of trust. When that trust is broken through unsuitable investment recommendations, unauthorized trading, churning, or outright fraud, investors often face devastating losses to retirement accounts, family trusts, and lifetime savings. Erez Law, PLLC is a national investment fraud law firm that helps investors pursue recovery through FINRA arbitration, AAA and JAMS proceedings, and state and federal litigation.
Our firm has recovered $300 million for clients across the country and around the world. With a 99% success rate and a team that prepares every case from day one as though it may go to trial, we bring the resources and experience needed to take on the largest brokerage firms in the industry, including firms such as Merrill Lynch, UBS, Morgan Stanley, Wells Fargo Advisors, and LPL Financial.
Whether the misconduct involved a single broker or a firm-wide pattern of negligence, our attorneys pursue aggressive, discovery-driven strategies to recover investment losses for individuals, retirees, trusts, pension plans, family partnerships, and ultra-high-net-worth investors.
Brokers and brokerage firms are required to follow strict rules when recommending or trading investments, and in many situations, they must put the client’s interests ahead of their own. In reality, some push unsuitable investments, provide incomplete or misleading information, or recommend products that benefit the advisor rather than the investor. When this misconduct results in losses, investors may have grounds to pursue a claim.
Our investment fraud law firm handles a broad range of cases, including EB-5 Immigrant Investor Program fraud, hedge fund fraud, junk bond fraud, oil and energy investment fraud, Ponzi scheme fraud, preferred shares fraud, private placement fraud, and variable annuity investment fraud.
Recognizing the signs of securities fraud is not always straightforward. High-pressure sales tactics, evasive answers about account performance, promises of guaranteed returns, reluctance to provide documentation, and unexplained account activity may all point to deeper problems. Our securities fraud attorneys investigate claims involving violations of industry rules and duties owed to investors, advance fee schemes, broker embezzlement, pump-and-dump schemes, fund switching, and Ponzi schemes.
Broker misconduct takes many forms, and not every case involves outright fraud. Negligence, failure to supervise, and disregard for a client’s stated risk tolerance may all give rise to actionable claims. Common examples include churning (excessive trading to generate commissions), overconcentration of a portfolio in a single sector or product, unauthorized trading, misrepresentation of investment risks, selling away, and misappropriation of client funds.
Our firm investigates each case through detailed discovery, examining account records, trade histories, internal communications, and compliance files to identify the proof points that matter.
Most brokerage account agreements require that investor disputes proceed through FINRA Dispute Resolution rather than traditional court. Our FINRA arbitration attorneys have handled thousands of cases in this forum, recovering more than $175 million through FINRA proceedings alone. We also pursue claims through AAA and JAMS arbitration as well as state and federal courts when those forums better serve the client’s interests.
Current Investigations
There are options for clients of Capitol Securities Management, Inc. broker Kent Engelke (CRD# 1421164) who suffered investment losses. He has been registered with Capitol Securities Management, Inc. in Glen Allen, Virginia, since 2008. Kent Engelke Customer Complaints He has … Continue reading
How Our Investment Fraud Law Firm
Builds Your Case
Many investors who suffer losses blame themselves or feel uncertain about whether they have a legitimate claim. The reality is that brokerage firms and financial advisors are held to strict standards under FINRA rules and federal and state securities laws. When those standards are violated, investors have a right to pursue recovery.
At Erez Law, our approach starts with a thorough, discovery-driven investigation. We examine account records, internal compliance documents, trading histories, and communications to identify the key evidence that drives case value. This “no stone unturned” methodology is what distinguishes our firm from practices that treat these cases as paperwork exercises.
Brokerage firms and their defense counsel carefully evaluate the law firms representing investors who bring claims. Firms represented by proven trial-ready attorneys receive different treatment at the negotiation table. That distinction matters at every stage of a case.
Our attorneys represent individuals, retirees, trusts, pension plans, partnerships, family offices, and ultra-high-net-worth investors throughout the United States, Puerto Rico, and internationally, including clients in Latin America. We handle claims in English and Spanish.
Your Investments Funded a Future. Our Job Is to Fight for What Was Lost.
Retirement accounts, education funds, family trusts, and decades of careful saving deserve the same level of protection as the institutions that manage them. When a broker or financial advisor breaches that obligation, the path to recovery begins with a candid conversation about what happened and the options available.
Erez Law, PLLC represents investors nationwide and internationally. Call our Miami office at 305-728-3320 or toll-free at 888-840-1571 for a free, confidential case review. Hablamos Español. International clients may text via WhatsApp: 305-336-8068 (text only).
FAQs for Investment Fraud Lawyers
Do I have to go through FINRA arbitration to file a claim against my broker?
In most cases, yes. Brokerage account agreements typically include a mandatory arbitration clause requiring disputes to proceed through FINRA Dispute Resolution. However, some claims may be eligible for AAA or JAMS arbitration, or for state or federal court litigation, depending on the circumstances. An investment fraud attorney can review your account agreement and advise on the appropriate forum.
What types of broker misconduct may support a claim to recover investment losses?
Common forms of broker misconduct include churning (excessive trading to generate commissions), unauthorized trading, overconcentration of a portfolio in a single investment or sector, misrepresentation or failure to disclose material risks, unsuitable investment recommendations, selling away (recommending products not approved by the broker’s firm), and misappropriation of client funds.
How long do I have to file a FINRA arbitration claim?
FINRA arbitration is generally limited by a six-year eligibility rule measured from the events at issue, and shorter state or federal deadlines may also apply depending on the claim. Consulting with an investment fraud lawyer promptly helps preserve your ability to pursue recovery.
How much does it cost to hire an investment fraud law firm?
Erez Law works on a contingency fee basis, meaning no attorney fees are owed unless we recover for you. Clients are responsible for case-related costs, and the contingency fee is calculated before deducting those costs. We offer a free consultation to evaluate potential claims.
Can retirees and seniors recover money lost to financial advisor misconduct?
Retirees and seniors are among the investors most affected by broker misconduct and investment fraud. Claims involving unsuitable recommendations for risk-averse investors, overconcentration in volatile products, or failures to account for a client’s age and income needs may support recovery through FINRA arbitration or other dispute forums.
