Nationwide Service.
 Serving Clients Nationwide from the Blue Ridge Mountains in Asheville, NC

We Do Investment Disputes
And we do it quite well. Among NC's Most Experienced Advocates

It's Already a Risk
Combatting Broker Misconduct, Negligence and Fraud

Results Matter
Millions Recovered for Victims of Broker Misconduct

Win. Win.
Risk Free, Contingency-Based Legal Representation.

Recovering Losses Caused by Investment Misconduct


FINRA, the Financial Industry Regulatory Authority, is the dispute arm of the SEC. It has its own rules for mediation and trial of disputes arising from broker misconduct and securities fraud. Your broker agreement ensures your right to demand a hearing before FINRA to resolve investment disputes.


Securities Fraud occurs when brokers manipulate stocks or fail to properly disclose accurate information about a company’s operations, financials, and earnings, or engages in deceptive, misleading, or improper behavior that caused you financial harm, you need an experienced fraud lawyer.


Brokers must fairly and accurately disclose known investment risks. Misrepresentations and omissions in material disclosures related to an investment or its magnitude of risk that cause investor loss may rise to the level of misconduct. Brokers are liable for losses in misconduct matters.


Sometimes investor losses are a result of normal, though often unpredictable, market forces, The purpose of a fraud investigation is to determine if there is a connection between an investor's losses and a broker's misconduct. Competent fraud investigations are the main component of recovery.


As a civil litigation and trial attorney, I enjoy a history of successful representation and impressive results on behalf of hundreds of investors who have fallen victim to predatory brokers across the United States. Through fraud investigations and arbitration before the Financial Industry Regulatory Authority (FINRA), I have helped recover millions of dollars in damages for investors.  We focus on matters relative to investment fraud, securities litigation, broker negligence and misconduct, and FINRA directed disputes and arbitration. I take each case personally and provide my clients with trusted, knowledgable legal representation.


The level of experience we offer to client includes decades of successful litigation, hundreds of people served, and millions of dollars recovered.


We are passionate about helping people whose savings have been swindled by fraud or misconduct on the part of their investment advisers.


Investment fraud and misconduct by brokers is often times tedious to prove. We are with you from investigation to arbitration.

Risk Free, Contingency-Based Legal Representation. Free Consultation.

Small firm appeal. Large firm privilege.

Ready to take back your life? 
Start the Damage Recovery Process Now

You need this. Let's see if I can help.

828-398-8288 • [email protected]

Contact Us