Securities Litigation and Arbitration
Rodriguez Law has strong experience handling lawsuits and arbitrations involving securities and investment fraud. The firm regularly represents individual investors pursuing fraud-related claims against stock brokers and financial institutions in arbitration proceedings before the Financial Industry Regulation Authority (FINRA). Our securities fraud matters frequently raise issues related to:
- The unsuitability of brokerages’ investment advice
- Stock broker fraud and misconduct
- Negligence
- Excessive trading and commissions(churning)
- Breach of Fiduciary Duty
- Over-Concentration
- Failure to Supervise
- Unauthorized Trading
- Mutual Fund Fraud
- Margin Trading
- Misrepresentations & Omissions
- Private Placements
- Asset Allocation
- Ponzi and Pyramid Schemes
- Employee Stock Options
