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  • Broker Misconduct
  • Securities Fraud
  • FINRA Arbitrations
  • Fraud Investigations
  • Class Action Suits


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

Fraudulent Leasing Program

Represented 375 investors in state and federal actions relating to a fraudulent leasing program, collecting over $7 million for the investors.

Class Action

Represented investor class in class action against a major law firm, collecting over $2.5 million.

Ponzi Schemes

Represented 60 individuals in an insurance Ponzi scheme and obtained a $9.5 million jury verdict.

Fraudulent Investment Offerings

Represented 47 individuals against a major Life Insurance company regarding a fraudulent investment offering, collecting over $5 million for the investors.

Premature Termination of Fund

Represented investor class in class action against mutual fund family regarding premature termination of a fund, collecting over $3 million for the investors.

Hundreds Represented

Represented hundreds of individuals in arbitration and court proceedings relating to investments, collecting over $30 million dollars for the investors.

Corporate SEC Investigations

Represented “Inc. 100” corporation in SEC investigation, threatened delisting by the NASDAQ and class action securities litigation.

Officer SEC Investigation

Represented former Chief Operating Officer of major corporation and his family in an investigation by the SEC.

SEC Investigations and International Corporations

Represented Canadian corporation in SEC investigation, threatened delisting by the American Stock Exchange and application to the NASDAQ Stock Market, Inc.

FDIC Representation

Represented the Federal Deposit Insurance Corporation connected with the failure of a savings and loan associations, resulting in multimillion dollar judgments against culpable officers and directors. 

FDIC Investigations

Conducted an extensive investigation of potential securities law violations in connection with the operation by a brokerage firm of a “covered call” options program for the savings and loan association.

Sale Contests

Represented a Fortune 100 company in an action contesting the sale of three $200 million vessels; the action proceeded simultaneously in administrative and judicial forums to a very successful negotiated settlement.

Government Agency Contracts

Litigated numerous cases involving contracts with government agencies, including several cases before the General Services Board of Contract Appeals.

Inventor IP

Represented the inventor of drug compounds that have received national attention in contract negotiations with the inventor’s research hospital and with pharmaceutical companies interested in obtaining licenses for the compounds.


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.

828-277-6001 •

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