Corporate & Securities Law

We recently arbitrated a claim to recover investment losses for a retiree against an investment advisory firm that describes itself as different and better.  Though certainly different, we found that the firm fell (and continues to fall) far short even in its most basic duty to clients. That duty is known as investment suitability, and includes elements such as the ability of an investor to understand the particular risks associated with an investment recommendation and his or her ability to bear those risks.

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