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Investor Protection

Our investor protection practice is led by William Aron, who is a former prosecutor with over 20 years of real-world experience trading complex financial instruments, including equities, exchange traded products, equity options, index options, index futures, commodity futures, futures options, VIX options, VIX futures, and various structured products.  

We hold Wall Street accountable, whether in state court, federal court, FINRA arbitration, NFA arbitration, AAA arbitration, or wherever the fight may take us.  If you have lost money due to no fault of your own, contact us today to discuss how we may be able to help. 

Frequently Asked Questions About Investor Protection

I lost a lot of money in my investment accounts. Is it my broker's fault?

Whether it's your broker's fault that you lost a lot of money in your investment accounts depends on their conduct. Brokers cannot guarantee profitable investing, as most investments involve a certain level of risk. Still, brokers must comply with high-quality standards of commercial honor and fair principles of trade. If your broker violates these responsibilities and you lose a lot of money as a consequence, then the broker may be accountable to reimburse you for that loss.

How can I find out whether my broker was at fault?

While all losses are in some sense caused by the market, your broker may make poor investment decisions that were not as secure as they described to you. Several possibilities may alert you that your broker was at fault for your investment losses, including:

  • If you hire a new stockbroker, they may detect their predecessor's misconduct
  • Your accountant also may uncover issues in your accounts and warn you of potential misconduct
  • A competent investment lawyer may examine your investments and notify you of the misconduct

If you suspect that you have lost money due to your stockbroker's wrongdoing, contact us to discuss how we may be able to help.

Why should I hire an investor protection lawyer?

Investment law is a complex area of law with a vast amount of rules and regulations. If you've lost money due to investment professionals' misconduct, an investor protection lawyer may review your case and help determine how much time you have to proceed and what your legal options are. At the Aron Law Firm, our investor protection practice is led by William Aron, who has over 20 years of real-world experience trading complex financial instruments. If you've lost money owing to no fault of your own, contact us today to learn how we may help.

Will I be able to recover any of my lost funds?

If you have lost funds due to broker misconduct or bankruptcy, an investor protection lawyer may help you determine the length of time you have to pursue your charge and how much of your investment may be recovered. They work with you to review the details of your case and explore your legal options.

How is investor protection defined?

If your broker goes bankrupt or commits fraud, investor protection allows you to recover your funds up to a certain amount. Investor protection is only used in the event of misconduct by an investment professional, not when an investment loses money due to the pre-established financial risks associated with investing.

What are the benefits of hiring an investor protection lawyer?

If you have lost funds due to broker misconduct or bankruptcy, an investor protection lawyer may help you determine the length of time you have to pursue your charge and how much of your investment may be recovered. They work with you to review the details of your case and explore your legal options.

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