Investment Losses

bartle + marcus attorneys help clients recover investment losses.

Investment losses can hurt almost as bad as physical injuries. This is because investment losses, particularly in retirement or in the years immediately preceding retirement, can be life-altering.

For years, you diligently saved money for the future. You were willing to accept some risks so that your portfolio would have a chance to grow, but you told your investment advisor your risk-tolerance was low. You told him you were a conservative investor. Then one day you open your account statement, and you see investment losses. These are not normal investment losses, the type you’ve seen everyone once in a while as market fluctuates. These are significant losses you did not expect and had no reason to anticipate. You take a closer look, and the numbers don’t add up. You were told your investments were safe, but now money is gone and you want to know why. We can help.

bartle + marcus attorneys help clients recover investment losses. Whether your situation involves churning, suitability, unauthorized trading, failure to execute, improper use of leverage or margin, over concentration, negligence or fraud, you need an experienced investment loss attorney to discuss your issues and identify and assess possible strategies for obtaining a successful outcome and recovering your investment losses. There is no charge for our initial consultation. In appropriate cases, we represent clients on a contingent-fee basis, so there is no charge at all unless we recover.

Every investment recommendation made to an investor by a financial adviser must be “suitable” based on the investor’s risk tolerance, investment objectives, financial status and other relevant factors. An investment recommendation may be unsuitable if it is not made in accordance with the investor’s investment objectives; the investor does not have the financial ability to incur the risk associated with the investment; or the investor did not know or understand the risk associated with the investment.
Over-concentration claims are actionable when an investor, at the recommendation of a financial adviser, maintains a portfolio that is over-concentrated in a single issuer and/or asset class. A financial adviser that fails to diversify a customer’s account may be liable should the investment decline in value.
An investor may leverage their assets via a margin account held at a financial institution and purchase securities with borrowed money. The loan from the institution is secured by securities in the account. Investors who trade securities on margin incur the potential for higher losses and for “margin calls.” The institution can force the sale of securities in your account and can sell your securities without contacting you. As a result, there are additional risks involved with trading on margin that financial advisers must disclose to their customers.
Churning occurs when a financial adviser engages in excessive trading in an investor’s account in an attempt to generate excessive commissions. To prove that the pattern of trading in the account was excessive, the activity in the account is analyzed to determine whether it meets certain threshold calculations. The investor must prove that the financial adviser exercised control over the decision-making in the account, the trading was excessive and that the financial adviser acted in reckless disregard of the investor’s interests.
Negligence is conduct that falls below the “legal standard” established to protect others against unreasonable risk of harm. Generally, negligence is the failure to use such care as a reasonably prudent and careful person would use under similar circumstances. If a financial adviser is negligent in his dealings with an investor, then the investor may have recourse against that financial adviser.
Federal and state laws prohibit financial advisers from making “material misrepresentations” about investments that they are selling to customers. The laws impose on the financial advisers and financial institutions an obligation not to omit any information that a reasonable investor would want to know about in making a decision to invest. A financial adviser or financial institution may be liable to a customer if they misrepresent material facts or fail to disclose material facts to the investor in the sale or recommendation of an investment.

If any of the above applies to your situation, you need to get in touch with an experienced investment loss attorney.


You can hire anyone.
This is why you should hire us.

The Big Lie.

Your broker may tell you these things just happen. There may be a better explanation.

Our Process.

Different attorneys may approach your case differently. This is our way.

CALL 816.285.3888 or 1-877-710-LOSS