Advocating for Investors for over 35 years

Law Offices of Howard M. Rosenfield

Investment Recovery & Securities Attorney

Did your broker or financial advisor…

  • Tell you half-truths? (A half-truth is still a lie!)

  • Churn (excessively trade) your account?

  • Over-concentrate your portfolio?

  • Sell you a Ponzi scheme?

  • Recommend risky investments?

  • Sell you private investments?

  • Have you invest in promissory notes?

  • Earn large commissions while you lost money?

  • Have you borrow money on margin?

Advocating for Investors for over 35 years

If you lost money because you trusted an irresponsible or fraudulent broker or financial advisor, you know how overwhelming it can all be. There may be feelings of anger, shame, embarrassment, or confusion. And you may think your money is lost for good…

Don’t sit back and accept financial ruin. Call us to evaluate the reason for your losses, because they may be recoverable through arbitration or mediation. Put our skill, experience, and know-how to work for you and fight back using the arbitration process.

Unscrupulous brokers are excellent at coming up with justifications for your losses and explaining away their failures, and it can be very hard to separate facts from fiction. It is vitally important to have a securities attorney with experience and expertise in identifying broker misconduct to help you navigate the complicated world of securities law.

Headquartered in Farmington, CT with a satellite office in Boca Raton, Florida, The Law Offices of Howard M. Rosenfield has been assisting defrauded investors and pursuing actions against negligent brokers and advisors for more than 35 years. In that time we have helped all different types of investors recover some or all of the money they feared was lost forever. Rely on us to help you stand up to the big banks and fight for what is fair. We bring extensive experience and professionalism to every case and customize our support to your individual needs and concerns.

Get in touch with us to set up a free and confidential consultation, or use the contact form at the bottom of this page to reach us.

Do your loved ones have a claim against their financial adviser for elder abuse?

➤ locations

10 Waterside Drive, Suite 303
Farmington, CT 06032

2255 Glades Road, Suite 324A
Boca Raton, FL 33431

 ☎ Contact
Toll-Free (800) 637-3243
Local CT (860) 677-4334

 ➤ Office Hours

Monday - Friday
10AM - 6PM

Equity sees Done what Ought to be Done
— equitable maxim

Do I have a viable claim?

We will investigate your claim by reviewing the account activity for broker misconduct. We can request that the brokerage firm send our office all account documentation. We provide you with an authorization so that we can…

Read More: Do I have a viable claim?

 What can I recover?

You can recover losses that you suffered as a result of “stockbroker misconduct.” Losses that are the result of market risks that you willingly or knowingly agreed to may not be recoverable…

Read More: What can I recover?

How does the process work?

Arbitration is used for the resolution of disputes with stockbrokers and stockbrokerage firms. A submission agreement and Statement of Claim are filed together with a filing fee with FINRA. The broker or brokerage firm will respond with...

Read More: How does the process work?



If your broker makes inappropriate investment recommendations based on your age, income, investment objectives and/or risk tolerance, then you may be the victim of something called “unsuitability.”

If a broker breaches their duty and makes unsuitable recommendations for a client, the broker may be liable to that client. Click here to learn more about Suitability Claims.


A broker must obtain client permission before making a trade on the day the transaction occurs.  If not, the transaction is unauthorized. Laws explicitly prohibit brokers from making discretionary trades in a customers’ non-discretionary account. However, there are certain exceptions, such as with margin requirements, where a broker may take appropriate actions without consulting the customer beforehand.

Unauthorized trading violates just and equitable principles of trade and constitutes securities law violations due to its fraudulent nature. Click here to learn more about Unauthorized Trading.


Securities fraud, also known as stock fraud or investment fraud, is a deceptive practice in the stock markets that induces investors to make purchase or sale decisions based on false information, frequently resulting in losses, in violation of securities laws.

Investors are protected against fraudulent securities activities by several different civil laws. Click here to learn more about Securities Fraud.

Churning (Excessive Trading)

Excessive trading, or “churning,” occurs when a broker buys and sells securities in an account to generate commissions, placing his own interests ahead of his customers. Although churning often occurs by trading stocks, churning can also occur by short-term trading in mutual funds, bonds or annuities.

Investors are protected against fraudulent securities activities by several different civil laws. Click here to learn more about Churning.

Let's Chat.

Use the form below to contact us about your legal question, and we’ll contact you to discuss your chances for recovery.

Please describe your legal issue and the best method of contacting you.
You may also call us at anytime
toll-free at (800) 637-3243 or in CT at (860) 677-4334.
We are happy to provide free claim evaluations.

Name *
Please do not include confidential or sensitive information in your message.