What are your Rights as an Investor?
Investors are entitled to certain rights that safeguard their interests and also promote fairness in the realm of the securities world. By law, a broker must recommend suitable investments. To be considered suitable, an investment should align with the client’s investment objectives. There are critical aspects to making sure that investors are being protected, while also being given the proper tools to measure the success of their investments. Listed below are some of the rights that investors have when entering into an investment.
If you are concerned about a violation of your rights as an investor, and you have suffered investment losses, you may have recourse. FINRA arbitration is similar to a dispute resolution process that is methodically designed for investors. FINRA is the Financial Industry Regulatory Authority that plays a critical role in ensuring the integrity of America’s financial system and all at no cost to taxpayers. FINRA works under the supervision of the Securities and Exchange Commission (SEC) and they write and enforce rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the U.S. FINRA also examines firms for compliance with those rules, foster market transparency, and educate investors.
FINRA arbitration is an alternative to going to court, and it allows investors to resolve their grievances with their brokers or financial firms. In FINRA arbitration, a neutral third party, called an arbitrator, reviews the case and makes a conclusive decision. It’s a more streamlined and cost-effective way to seek relostion and obsidian compensation for any harm or losses suffered. FINRA arbitration can be a helpful avenue to pursue justice if you feel you’ve been misrepresented or scammed.
Securities Fraud Attorneys
The securities fraud attorneys at The White Law Group specialize can help investors who have been victimized by scams or fraudulent practices. These attorneys also work towards justice for their clients by investigating cases, gathering financial evidence, and representing clients in legal proceedings to recover losses stemming from investment fraud. If any of your rights as an investor have been violated, you should consider contacting one of our securities fraud attorney for a consultation regarding a possible case. If you find yourself in need of representation and protection against investment fraud, we may be able to assist you.
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. We represent investors in all 50 states. Our attorneys have recovered millions of dollars from many brokerage firms in the past.