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Financial Advisor Misconduct

Howard Rosenfeld, Esq., is the Right Attorney to Handle Your Financial Advisor Misconduct Claim

Financial Advisor MisconductThe “Great Recession” of 2009 caused a lot of people to lose a lot of money – but what most people are unaware of is that if you’ve lost money as an end result of financial advisor misconduct, you have the right to hire an attorney to vigorously prosecute your claim against your financial advisor. But how do you know if you have a case?

What is Financial Advisor Misconduct?

According to a joint study conducted by the University of Chicago and the University of Minnesota, about 7% of all financial advisors have been at the receiving end of a disciplinary action as a result of financial advisor misconduct. Financial advisor misconduct can range from “putting clients in unsuitable investments” to trading on clients’ accounts without permission. No matter how minor, or how severe, the misconduct charge is, it’s all tantamount to fraud, which is prosecutable both by law and in a civil court.

More Ways of Financial Advisor Misconduct
  • Know Your Customer
  • Margin Accounts
  • Selling Away Securities
  • Overconcentration
  • Structured Finance
  • Stockbroker Wrongdoing

If you feel that you have been the victim of misconduct, and have suffered a severe financial loss as a result, you need to contact Howard Rosenfeld, Esq., an attorney who is experienced in the arena of financial advisor misconduct. He will not only thoroughly examine your case, he will provide you with a detailed analysis of exactly when – and where – the financial advisor misconduct took place, and he will provide you with an air-tight case to fight for your rights and recover the money you’ve invested (and, subsequently, lost).

But more than that, Howard Rosenfeld, Esq., will be your strongest advocate on the day of arbitration. Though you, as a litigant, will have more leeway in front of an arbitrator than you will in front of a judge, it’s imperative that you have all of your proverbial ducks in a row before going after your financial advisor for financial advisor misconduct. The stronger your presentation – the better your chance of receiving all the money you invested, and then some. Shouldn’t you be working with an attorney who will give you that advantage?

Contact Howard Rosenfeld, Esq., today, if you’ve been the victim of financial advisor misconduct.

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