Path to Recovery


Investors who suffered investment losses may be entitled to recover if the losses were a result of sales practice violations by their financial advisor and full-service brokerage firm. The question is, how does an investor know which losses could have been avoided had the investor not been a victim of sales practice violations, including negligence, omission of material fact or a failure to supervise the handling of your account?

Our Attorneys Will Analyze Account Activity

The first, and possibly the most important step, is for an investor to speak to an attorney, who can analyze the facts and ascertain whether there is a viable claim against the financial advisor and/or full-service brokerage firm. The investor should look for a law firm that has experience in the field and is willing to represent the investor on a contingency fee basis. Under a contingency fee agreement, the attorney is paid a fee only if there is a recovery for the investor.

We Work on Contingency Fee Basis

The Securities Law Firm of Rodriguez Tramont & Nunez, PA (RTN), is a nationally recognized Martindale Hubbell “AV” rated securities law firm that handles all securities arbitration matters on a contingency fee basis. RTN conducts, at no cost to investors, a due diligence process with each investor. The process starts with a forensic analysis of the activity in the investor's account by attorneys and a securities arbitration consultant with decades of experience as an investment advisor, and ends with a consultation to review the findings with the investor. RTN reviews account activity and account statements for sales practice violations, while taking into consideration the investor’s age, investment background, and the relationship between the investor and the financial advisor. The most common sales practice violations are the recommendation of unsuitable investments, concentration in a particular security and/or sector, and negligence. The due diligence RTN performs prior to being retained gives the investor and RTN a realistic overview of the strengths and weaknesses of the case.

RTN Files FINRA Arbitration Claim

Subsequent to determining there was in fact a sales practice violation and being retained by the investor, RTN works together with investors to produce a Statement of Claim (“the Claim”) that accurately reflects the investor’s investment background, transaction history and damages sustained. Filing the Claim with the Financial Industry Regulatory Authority (“FINRA”) will initiate the arbitration process. Upon receipt of the Claim, the defendant or Respondent must file an Answer, which specifies all facts and defenses Respondent claims it has available against the Claim.

Steps Towards Road to Recovery

  • Schedule a time for an Interview with an Industry Expert
  • Gather Critical Case Documents
  • Complete Risk Tolerance Assessment
  • Review Assessment of Account Damages with Legal Team
  • File Statement of Claim for Securities Arbitration