The Financial Industry Regulatory Authority (FINRA) has suspended and fined Alan Mason for violating Regulation Best Interest by recommending hi...
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.
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