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Overconcentration

Delivering The Results You Deserve

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.

We Are Here To Help

Failing to diversify your investments over asset class (type of security, i.e., stock, bond, mutual funds, cash, etc.) and sector (health care, financials, automotive, pharmaceuticals, consumer goods, technology, international, etc.), as well as “overconcentration” in any one of those areas may be the reason for your losses and an actionable claim against your broker. A broker who does not diversify his client’s portfolio is potentially liable if that investment declines in value.