One of the most common causes for securities arbitration is that an investment advisor breached a duty owed to the client. The fiduciary duty requires the investment advisor, and in certain situations a broker, to act in the best interest of the person who was owed that duty. If you are accused of breaching fiduciary duty – then our breach of fiduciary duty lawyers can help you.
This duty deals with duty of case, duty of loyalty, duty of good faith, and duty of fair dealing. In a securities arbitration claim, our team of lawyers will work to prove that you DID NOT act negligently, or recklessly, when providing investment advice. We will work with you to prove that you DID NOT make misrepresentations, or omissions by failing to disclosure information regarding the investment which would affected the customer’s final decision.
Our goal is to help you preserve your reputation and record. We’ll make sure that if you are being sued for breach of fiduciary duty, that you are vindicated of all charges. The Investment Adviser Act of 1940 memorializes the rule that advisers have to comply with when upholding their duty to their clients. It means investment advisors have to act in the best interest of their customers and provide investment advice which adheres to the investor’s objectives and risk tolerance. Advisers have to disclose all conflicts of interest which cause the adviser to give advice which isn’t neutral. As your attorney, we will work to ensure that it is clear that you acted in the best interests of your investor, and adhered to their investment guidelines at all times.
Our attorneys can work with you to ensure that it is proven beyond a reasonable doubt that you upheld your fiduciary duty, and prevented violations of the Investment Adviser Act of 1940.
Todd is a miracle worker who will work tirelessly for you and your family. He is one of the few attorneys i've met - who I earnestly trust to protect me, and who I am happy to refer to our friends and fellow family members. The Spodek Law Group is someone you want on your side, because they will treat you just like family. Todd and his team are available 24/7, and they always answered our calls. Even when we were being irrational, and crazy - they were calm and super helpful. Just call Todd. He gives you a free consultation and is very understanding.- Donna & Robert
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