The founding attorneys of CMF spent the majority of their careers at large New York defense firms, representing brokers and broker-dealers in securities litigation, arbitration, administrative and regulatory proceedings before FINRA and the U.S. Securities & Exchange Commission. Having extensive experience working on both sides of the fence, we have a unique understanding of the complexities of securities arbitration, mediation, regulation and litigation. Because CMF represents both plaintiffs and claimants in civil matters, and defendants and respondents in administrative and regulatory matters, we are familiar with all of the relevant legal arguments.
Types of claims
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A broker and brokerage firm’s procedures and controls should take into consideration the age and life stage (whether pre-retired, semi-retired or retired) of their customers. Of particular concern is the suitability of recommendations to senior investors, communications targeting older investors, and potentially abusive or unscrupulous sales practices or fraudulent activities targeting senior investors. For example, certain securities such as private placements, penny stocks and other speculative securities may not be suitable for a senior investor relying on their investments for income.
Dealing with senior citizens and those approaching retirement requires special care and planning, as well as generally have special needs of liquidity, income and safety. If you find yourself having experienced greater than expected losses and you are in or approaching retirement, you may have a claim.