Current Investigations

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.

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