Commercial Litigation FAQs

Can We Recover from a Financial Advisor?

Financial Advisors Who Lose Funds Given to Them to Invest

It happens all too often in Texas and across the country. Investors work hard and save money to invest in stocks, bonds, mutual funds, or other securities, and their stockbrokers or investment advisors either intentionally or negligently cause them to lose everything they invested.

Financial advisers are professionals who provide their services to both individuals and businesses who need advice on investments and financial planning. These people should be trusted individuals, since large amounts of money are typically entrusted to them.

This may occur when the financial advisor gets you to invest in stocks or commodities based on bad advice or outright lies, does not invest the money as you had requested or bilks you out of your funds through a Ponzi scheme or some other form of investment sham. The key is in determining whether or not the financial advisor was negligent or purposefully lost your funds. If you enter into a contract with a financial advisor, and they do not meet their part of the agreement, you may be entitled to receive compensation due to breach of contract laws.

Fortunately, state and federal laws provide remedies for other types of loss incurred as a result of a financial advisor such as breach of fiduciary duty, misrepresentation, securities fraud, and unfair and deceptive trade practices. These laws are complex, however, and protecting your rights under them requires the help of a savvy, aggressive business and commercial litigation law firm.

You need someone who can prove that your funds did not have to be lost, which may be difficult to do on your own.

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