Representation For Individual And Institutional Investors

When making an investment, there is always the risk of a loss. But if your losses are due to the wrongful conduct of a financial advisor, stock broker, financial planner, insurance agent or similar person, whatever they call themselves, you may be able to recoup your losses. At Stafford Law Firm, LLC, we represent both institutional and individual investors who suffer financial losses from the wrongful conduct of these persons.

If you have experienced losses with an unscrupulous financial advisor, we work to recoup them. Oftentimes, investors do not understand they have been harmed and believe they can trust their financial advisor who has in fact harmed them. If you have losses it may be the fault of the financial advisor and not the excuse given to you by that advisor. We look at the facts and advise you whether it is beneficial to proceed and how to do so.

In many cases, we see harmful conduct that does not necessarily result in a readily apparent or immediate loss of funds but harms clients in other ways, such as having funds invested in illiquid products or products with excessive fees, or having funds transferred from their accounts without their knowledge or authorization. We always recommend another viewpoint or opinion if you question or even do not understand how your life savings, retirement funds or other assets have been invested and handled.

Many members of the securities industry see investor fraud with new clients and refer cases to us. They believe it is important to rid the industry of those persons giving them a bad name and causing a loss of faith in the important services offered by members of the securities industry.

Standards Of Conduct

Securities advisors owe investors defined standards of conduct in investing their funds. In most instances, they owe investors a fiduciary duty to act in their best interests. You do not have to bear losses resulting from their wrongdoing. For example, if a client is older, that client’s money must be invested more conservatively.

Financial advisors must be diligent and consistent in handling and monitoring clients’ money. They must understand and honor their clients’ wishes. When financial advisors fail to meet their duties, the results can be disastrous. There are numerous instances of people losing their life’s savings due to unscrupulous financial advisors, stock brokers, financial planners, insurance agents and fraudsters.

We Handle All Types Of Investor Claims

We have successfully represented clients in all types of investor claims, including those involving:

  • Suitability
  • Risky investments inappropriate for the investor
  • Churning, or excessive trading
  • Unauthorized trading
  • Inappropriate trading activity
  • Excessive fees and compensation
  • Failure to follow instructions
  • Misrepresentation or mischaracterization of an investment or services
  • Breach of fiduciary duty
  • Conflicts of interest
  • Annuity sales
  • Annuity twisting
  • Failure to conduct due diligence in recommendations
  • Private placements
  • Real estate investment trusts
  • Business development companies
  • Unauthorized access to and depletion of an investor’s funds
  • Aggressive and risky investment strategies
  • Financial exploitation of the elderly or elder abuse
  • Manipulative and deceptive practices
  • Securities fraud
  • Fraud
  • Market manipulation

When a client has a claim against a financial advisor, the case usually goes to arbitration. We have extensive experience with this system and we will help guide you through the process every step of the way. We also know other alternative dispute resolutions, such as mediation and other avenues, to avoid lengthy and expensive actions in court.

Contact Us If You Have Been Harmed By A Bad Investment

Not every loss can be blamed on wrongful conduct. When they are, we stand ready to hold the responsible parties accountable. To schedule a free initial consultation, call us at 913-648-9225 or contact us online. From our offices in the greater Kansas City Metropolitan area, we provide representation to clients nationwide.