Negligent Investment Management

Financial advisors and brokers sometimes just make mistakes, with no ill-will intended. This commonly comes in the form of retirement planning negligence or failing to diversify a portfolio. As businesses shift to defined contribution plans, such as 401(k) plans, more look to financial advisors for sound advice on how to effectively save for retirement. If you feel that you've lost investments due to your advisor or broker's inattentiveness, negligence, or failure of due diligence, you may be able to recover those losses.

The securities attorneys at Eccleston Law are well versed in the financial industry, matters relating to retirement planning negligence and fraud. We represent investors in New York, Chicago, Florida, and nationwide. Our attorneys also practice in other areas relating to securities, such as securities fraud, breach of fiduciary duty, and more. Schedule a telephone conference with an attorney at Eccleston Law today. 

Speak With an Attorney

Latest News & Articles
Read More

Advisor Ordered to Pay $17.7 Million Over unsuitable REIT Sales

A FINRA arbitration panel has ordered former advisor Mark Sam Kolta to pay nearly $17.7 million in damages, plus interest and costs, to his form...

Read More

Read More

FINRA Disciplinary Actions Rise for the First Time Since 2016

The Financial Industry Regulatory Authority (FINRA) increased its enforcement actions in 2024, marking the first rise in disciplinary cases sinc...

Read More

Read More

Apex Clearing to Pay $3.2 Million in FINRA Settlement Over Securities Le...

Apex Clearing, the clearing arm of Apex Fintech Solutions, has agreed to pay $3.2 million to settle FINRA allegations that it failed to ensure c...

Read More

Testimonials

I am grateful to have found an outstanding law firm that specializes in securities matters. My lawyers were extremely knowledgeable, diligent, and are skilled litigators. No stone was left upturned. As a result of their experience and tenacity, the arbitration proceeding was dismissed in my favor.

Michael E.