Investment losses can happen for many reasons. But when they result from fraud, negligence, or breach of fiduciary duty, you may be entitled to financial recovery. Our experienced securities lawyers and investment loss lawyers investigate misconduct in four key areas:
1. Financial Advisor Misconduct
Many investment losses begin with the very person who was supposed to protect your wealth: your financial advisor. You may have a claim if your advisor:
- Recommended unsuitable investments
- Failed to diversify your portfolio
- Did not disclose material risks
- Churned your account to generate commissions
- Operated under undisclosed conflicts of interest
- Neglected to monitor or adjust your investment strategy
These red flags often indicate violations of securities law. Our investment loss lawyers know how to uncover these patterns and hold the responsible parties accountable.
2. ERISA Violations & Retirement Fund Mismanagement
If your losses occurred in a 401(k), 403(b), IRA, pension, or other managed retirement account, they may be governed by ERISA—a powerful federal law that imposes strict fiduciary obligations on plan administrators and advisors.
- Your plan fiduciary invested in high-fee or poorly performing funds
- Your retirement assets were concentrated or not properly diversified
- You were steered into proprietary or self-serving products
- Your advisor failed to act solely in your best interest
ERISA violations are complex, but they are legally actionable. Our team of securities fraud lawyers and investment loss attorneys can determine whether your retirement savings were mishandled—and whether you’re entitled to recovery.
3. Securities Fraud and Corporate Deception
Sometimes the investment product itself is the problem. If a public company or issuer engaged in misconduct, and you relied on their representations, your losses may stem from securities fraud. Common examples include:
- False or misleading financial statements
- Accounting irregularities or fraudulent restatements
- Insider trading or pump-and-dump schemes
- Material omissions during offerings, earnings calls, or filings
Our securities fraud lawyers are trained to investigate market deception, trace liability, and initiate action against corporations and their officers.
4. Board of Directors’ Breach of Duty
Corporate boards are entrusted with safeguarding shareholder value. When directors fail to exercise reasonable oversight or act with integrity, they may be personally liable. You may have a claim if the board:
- Ignored obvious red flags of internal misconduct
- Failed to supervise reckless or unethical executives
- Put personal or corporate gain ahead of shareholder interests
Our investment loss lawyers evaluate director conduct to determine whether a derivative action or breach of fiduciary duty claim is warranted.
