The attorneys at Ryan Swanson represent investors and members of the investing community in analyzing brokerage and financial advisory accounts to determine whether investment professionals have failed to fulfill their fiduciary duties to their client. We do this by expert forensic analysis of investment account activity and detailed review of whether investment professionals fulfilled their suitability requirements. We investigate the securities purchased in investment accounts to determine whether they were appropriate for the investor’s investment objective, and if we conclude that the professional has violated his fiduciary obligations, we represent investors to recover their losses.
We also represent investment advisors and brokers who have been inappropriately blamed for investor losses or other misconduct and represent them in arbitrations and regulatory proceedings brought by Federal, State and industry organizations.
Assistance with Hiring an Investment Advisor or Securities Broker
We help investor clients who are looking to hire an investment advisor or securities broker, particularly by addressing the following questions:
- What services does the advisor/broker provide? Are they simply trading services, or does the advisor/broker provide advising services; does the broker simply buy and sell securities for a customer, or provide portfolio management?
- What does the advisor/broker charge? Does the advisor/broker charge commissions, a percentage fee, or both?
- Does the advisor/broker have a particular strategy that he/she intends to follow in managing your investments, or does the advisor/broker seek to follow a strategy that you prefer?
- How well does the advisor/broker communicate with you? Does he/she call you with investment ideas before he/she trades, or do you want an investment account where the advisor/broker has discretion to do the trading without your specific approval? Does the advisor respond to your telephone calls or e-mails?
- Do you feel like advisor/broker has provided you full disclosure of the risks of investing in whatever is being recommended?
- Do you understand why your investments are suffering market losses? Does your advisor/broker provide you economic reasons for losses and gains or does he/she make excuses?
If the answers to these questions raise more questions about your relationship with your investment advisor or securities broker, you will benefit by taking a closer look into how your money is being managed. Lawyers on our securities/investment fraud team have recovered millions for our clients, and successfully defended advisors and brokers in lawsuits, arbitrations, and regulatory proceedings. Use the form on the left to contact us and learn more about our services.