Various investigations in the securities industry are constantly surfacing. Investors had to endure dramatic losses in the financial industry. If a financial advisor violated the FINRA (Financial Industry Regulatory Authority) rules and regulations, one still may be able to recover those losses through an investigation.
Howard M. Rosenfield understands the stress his clients go through when dealing with large losses and sometimes even the loss of life savings due to financial advisor misconduct. Rosenfield uses his determination and knowledge to investigate and reveal the misconducts of the advisor and recover losses owed to his clients.
Below is a list of securities arbitration claims Howard M. Rosenfield is currently investigating on behalf of investors.
- Inverse Volatility Funds [LJM]
- Improper Variable Annuity Exchanges
- Oil & Gas Overconcentration
- Unit Investment Trusts [UITs]
- IRA Abuse
- Leveraged ETF Investors
- Penny Stock Sales
- EB-5 Abuse
- Non-Traded REITs
- Business Development Companies [BDCs]
From its offices in Connecticut and Florida, the Law Offices of Howard M. Rosenfield has been representing investors nationwide in securities arbitrations and mediations for over 30 years. Please call now, toll free, for more information if you believe that you suffered an investment loss as a result of improper sales practices by your LPL Financial Advisor/Broker: (860) 677-4334.