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At StockbrokerLawyer.com, we believe the best way to show our commitment is through the real stories of the people we’ve helped. These case studies demonstrate how our experience, determination, and deep understanding of financial law have made a difference for investors harmed by stockbroker misconduct.
We Help You Protect What You’ve Earned
Fighting back against deceptive or dishonest investment practices.
Helping clients reclaim funds lost due to broker misconduct.
Holding major firms accountable for their advisors’ actions.
Challenging recommendations that don’t fit your needs or risk profile.
Stopping excessive trades made only to earn commissions.
Protecting the nest egg you’ve worked hard to build.
Addressing high-risk or costly annuities sold inappropriately.
Safeguarding seniors from targeted investment abuse.
Client: Registered Nurse
Problem: After years of careful saving, she trusted her broker’s advice to invest in variable annuities and non-traded REITs. Both turned out to be illiquid, high-risk products she didn’t understand.
Our Action: We demonstrated the broker’s failure to disclose risks and the inappropriate nature of these investments for her goals.
Result: Achieved a favorable settlement that restored a significant portion of her investment and covered legal costs.
Client: Aerospace Engineer (Retired)
Problem: His broker placed him in highly speculative technology stocks, far outside his conservative risk tolerance. When the market shifted, he lost nearly 40% of his retirement savings in just six months.
Our Action: We built a detailed timeline of trades, matched them against the client’s stated investment goals, and proved unsuitability in arbitration.
Result: Recovered the majority of his losses, enabling him to continue his retirement without financial strain.
Client: 82-year-old widow
Problem: Convinced to liquidate stable bonds to buy complex annuities with steep surrender charges, locking up her funds.
Our Action: We gathered evidence of misleading sales tactics, obtained expert testimony, and pursued claims for breach of fiduciary duty.
Result: Secured a confidential settlement that returned much of her money plus interest.