Recognizing concerns
Separating market losses from misconduct
Learn which facts can help distinguish an ordinary investment loss from concerns about representations, transactions, or account handling.
Read the guide · 3 min
Investment disputes, explained
Clarity when your investment raises questions.
Understand the concern. Get your records in order. Prepare for an informed conversation with a qualified investment lawyer.
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The investor’s reading list
Ten guides.
A better starting point.
From the first unexplained transaction to a conversation about legal options, start with the question closest to yours.
Understand the concern
5 guidesRecognizing concerns
When a trade appears without your approval
Learn which account documents, instructions, and transaction records matter when you question whether a broker had authority to place a trade.
Read the guide · 3 minRecognizing concerns
Understanding excessive trading concerns
Organize trading patterns, costs, account objectives, and communications when you are concerned that frequent activity benefited a broker more than you.
Read the guide · 3 minInvestor relationships
When advice does not seem to fit
Understand why your goals, liquidity needs, experience, and the professional’s role matter when reviewing an investment recommendation.
Read the guide · 3 minInvestor relationships
Understand the incentives behind advice
Prepare questions about an investment adviser’s compensation, affiliations, disclosures, and role when a recommendation raises a conflict concern.
Read the guide · 3 minPrepare your next step
3 guidesEvidence & preparation
Build a useful brokerage document file
Organize account agreements, statements, trade confirmations, fees, and communications into a manageable file for an investment lawyer.
Read the guide · 3 minRecognizing concerns
What to do when an investment may be a scam
Preserve payment and communication records, contact verified institutions, and avoid recovery scams when you suspect investment fraud.
Read the guide · 3 minEvidence & preparation
Make the first legal conversation useful
Prepare a concise timeline, document index, loss summary, and question list for an initial meeting about an investment dispute.
Read the guide · 3 minExplore legal help
2 guidesGetting legal help
Finding the right investment lawyer
Compare relevant experience, conflicts, fees, and the proposed scope of work before hiring a lawyer for an investment dispute.
Read the guide · 3 minResolving a dispute
Arbitration, mediation, and your next step
Compare the basic roles of arbitration and mediation in securities disputes and prepare questions about forum, costs, evidence, and deadlines.
Read the guide · 3 minBefore you make the first call.
You do not need to know the legal label for your concern. A factual timeline and a few well-chosen documents can make the first conversation much more useful.
- Describe what concerns you.Identify the transaction, statement, or explanation that needs review.
- Keep the complete record.Preserve agreements, statements, and the surrounding communications.
- Bring questions about timing and scope.Clarify deadlines, costs, and who is responsible for the next step.