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Connecticut Investment Recovery

The Law Offices of Howard M. Rosenfield securities attorneys often represent investors from Connecticut directly through Arbitration and Mediation through the FINRA Dispute Resolution. Most broker and investment fraud complaints do not go to Connecticut Superior Court, but are instead heard by a panel of FINRA arbitrators. Attorney Howard Rosenfield has extensive experience arguing, and winning customer claims before panels of FINRA Arbitrators. Attorney Howard Rosenfield has also been an NASD and FINRA Arbitrator for over 25 years.

Are there specific protections available to Connecticut Investors?

The State of Connecticut has enacted statutes governing the licensing of registered representatives of brokerage firms and investment advisors. These statutes supplement the federal securities laws and regulations to protect public investors in Connecticut. Most notable is the Connecticut Uniform Securities Act [CUSA], with its Buyers’’ Remedy provisions [Connecticut General Statutes Section 36b-29], and the regulations enacted by the Connecticut legislature and enforced by the Securities and Investments Division of the Department of Banking. These state and federal securities laws, and FINRA rules and regulations, provide Connecticut investors the chance to recover their portfolios and investments lost through investment advisor, brokerage firm, and/or stockbroker misconduct.

The Connecticut Department of Banking does not represent individual investors victimized by securities fraud; generally, only a private investment/securities attorney can pursue a recovery action on behalf of individual investors. Even though the Department of Banking oversees and regulates licensing all of the stockbrokers and financial advisors in the state to ensure compliance with securities laws, the Department of Banking does not generally have the power to mandate the return of lost investment funds to victims of securities fraud – only a court with jurisdiction over a claim or a FINRA Arbitration panel may have that authority; . Due to the complicated nature of such claims, and nuances involved, it is vital to have an experienced and skilled FINRA Arbitration attorney on your side to fight for the recovery of your lost money.

How Frequent are the Incidents of Investor Fraud in Connecticut?

Connecticut was called ‘‘The Nutmeg State’’ because legend has it that some of the original Yankee settlers had traded the spice nutmeg with the local Indian tribes. When they ran out of real nutmeg spice to trade, some substituted wooden small balls painted brown and sold them as nutmeg spice. Connecticut has had quite a number of scandals, including the Colonial Realty scandal, with the ‘‘golden toilet seat’’, the Madoff- related Fairfield Funds scandal, the microcap pump and dump schemes, and many others.

Why The Law Offices of Howard M. Rosenfield?

Simply put, we get results. Of course, we cannot make any guarantees, but our securities attorneys have experience recovering millions on behalf of defrauded investors including in the State of Connecticut.

We believe in helping you recover, that is why wehave user friendly fees; so we generally do not charge by the hour, but instead, structure our fees so that the major portion of our compensation is dependent on your recovery of your lost investment. In other words, the Law Offices of Howard M. Rosenfield operate primarily on a contingency basis, which means that we win when you win, or agree to a mutually satisfactory settlement of the Arbitration or Mediation of your dispute. We offer free telephone consultations and claim evaluation in Connecticut and across the nation.

What Should You do?

If you or anyone you know has suspicions regarding a stockbroker or investment adviser in Connecticut, call our office for a free consultation and claim evaluation. There may be time limits on your claim to seek recovery, so don’’t wait, and get in touch with one of our securities attorneys to find out if you have a viable claim!

The Law Offices of Howard M. Rosenfield have worked with many investors all over Connecticut, including the following cities: Hartford, West Hartford, Windsor, Bloomfield, Watertown, Branford, Norwalk, Norwich, Enfield, Woodbury, Greenwich, Danbury, New Haven, Waterbury, Stamford, Meriden, Bridgeport, Norwalk, and more.

Client Reviews
Howard Rosenfield is truly a life saver. After months of working with my financial advisor, I found out he was making risky investments without my knowledge. When I discovered how much money I lost, I thought there was nothing I could do. Howard explained all the difficult terms and what exactly my financial advisor did wrong. If it wasn't for Howard, I would never have recovered my losses and would be under extreme financial distress to this day. J.
Howard’s experience and advice throughout this ordeal was invaluable and reassuring. The law in general is complicated, difficult to understand and very personal. Financial misappropriation is even more personal but Howard’s years of experience and calm demeanor helped keep me calm, focused and moving forward. For anyone in need of a knowledgeable and experienced Investment Recovery Attorney I strongly recommend Howard. Laura
I was filled with anxiety and stress when I selected Attorney Howard Rosenfield to represent me. Instantaneously, I felt comfortable and at ease. Attorney Rosenfield listens attentively to the facts and asks questions and competently reiterates and verifies the accuracy and completeness of my statements. Perseverance, trustworthy and superb legal and communication skills mark Attorney Rosenfield to be one of the best in his field of law. Helen