Braden Blumenstiel Legal Advocates Group, LLC
Securities Litigation
Protecting investors when brokers, advisors, and financial institutions put their interests ahead of yours.
Investing carries risk, but investors should not have to absorb losses caused by unsuitable advice, conflicted conduct, or a failure to meet professional obligations. We represent investors who have been wronged by brokers, financial advisors, and financial institutions.
These disputes often involve a close review of the investor's goals, risk tolerance, age, financial situation, account records, and the recommendations or transactions at issue. We help clients understand what happened and what options may be available.
Unsuitability claims
A broker or advisor should recommend investments and strategies that are consistent with the client's investment objectives, risk tolerance, age, financial circumstances, and needs. When recommendations do not fit that profile and losses follow, the conduct may support an unsuitability claim.
We examine the account opening documents, financial information, investment recommendations, trading history, communications, and resulting losses to help determine whether the advice was appropriate for the investor and the account.
Breach of fiduciary duty
Brokers and advisors may owe duties to act in their client's best interests, disclose material conflicts, and provide honest, appropriate guidance. A breach can occur when a professional puts personal interests or commissions ahead of the client.
- Self-dealing or undisclosed conflicts of interest
- Churning or excessive trading that generates commissions
- Excessive fees or compensation that is not adequately disclosed
- Misrepresentation or omission of important investment information
Pursuing a claim and recovering losses
Securities claims can involve detailed account records, changing investments, and questions about when a client learned of the problem. We work to organize that history, identify the conduct that caused harm, and evaluate the available avenues for recovery.
A confidential consultation is an opportunity to discuss your account, the advice you received, and the losses you experienced. Bring account statements, trade confirmations, correspondence, and other records that may help explain what happened.
Confidential consultations
Let’s talk about your next step.
Legal questions rarely arrive at a convenient time. Share what is happening with our firm and we will listen, explain the process in plain language, and help you understand the options available to you.
Schedule a confidential consultationWorthington, OH 43085614-508-1677
888-343-9796Monday–Friday
9:00 a.m.–5:00 p.m.