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Connecticut Investors

  1. Are There any Specific Protections Available to Connecticut Investors?
  2. Why The Law Offices of Howard M. Rosenfield?
  3. What Should You do?

The Law Offices of Howard M. Rosenfield securities attorneys often represent investors from Connecticut directly through the Financial Industry Regulatory Authority (FINRA). Most investment fraud complaints do not go to state court, but are instead heard by a panel of FINRA arbitrators. Attorney Howard Rosenfield has extensive experience arguing, and winning customer complaints before a panel of FINRA Arbitrators.

Q: Are There any Specific Protections Available to Connecticut Investors?

A: The State of Connecticut has enacted certain securities laws and regulations to protect investors in Connecticut. Most notable is the Connecticut Uniform Securities Act [CUSA]. State regulations such as CUSA, along with other state and federal securities laws, and FINRA rules and regulations, provide Connecticut investors the chance to recover 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, only a private investment/securities attorney can pursue a recovery action on behalf of an individual investor. Even though the Department of Banking oversees all of the stockbrokers and financial advisors in the state to ensure compliance with securities laws, the Department of Banking does not have the power to mandate the return of lost investment funds to victims of securities fraud – only a court with jurisdiction over a claim can do that, such as a FINRA Arbitration panel. 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.

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Q: Why The Law Offices of Howard M. Rosenfield?

A: Experience. We have been representing investors for over 35 years. Of course, we cannot make any guarantees, but our securities attorneys have experience recovering millions on behalf of defrauded investors throughout the State of Connecticut and Nationwide.

We believe in helping you recover, that is why we only get paid if you recover your lost investments. The Law Offices of Howard M. Rosenfield operate primarily on a contingency basis, which means we only take a fee if our clients recover lost funds. We offer free claim evaluations in Connecticut and across the nation.

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Q: What Should You do?

A: If you or anyone you know has suspicions regarding a stockbroker or investment adviser in Connecticut, call our office for a free consultation. 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, Greenwich, Danbury, New Haven, Waterbury, Stamford, Bridgeport, Norwalk, and more.

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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