Investor FAQs | FINRA Arbitration Law Firm

What if the firm says it didn’t know?

Firms are obligated to supervise their brokers. If they failed to train, monitor, or intervene, they are responsible, regardless of whether they claim ignorance.

How do I know if my broker acted negligently?

You may have a claim if your broker failed to disclose fees, misrepresented a product’s risks or benefits, recommended an unsuitable investment, recommended a product without understanding it, or submitted inaccurate account paperwork. We can review your records and evaluate your options.

What if the broker didn’t sell me a security but still gave bad advice?

FINRA Rule 2010 applies broadly to all business-related conduct. Giving false information or omitting key details in the course of business, even outside a securities transaction, can support a claim if you suffered damages.

Can I bring a claim if the broker made an honest mistake?

Yes. Intent is not required. If the broker failed to exercise reasonable care and that failure caused you harm, the conduct is actionable.

How is negligence different from fraud?

Fraud requires intent. Negligence does not. A broker who misleads a client through carelessness, not malice, can still be held liable.

What is a FINRA Rule 3280 violation?

A broker violates Rule 3280 when they participate in a private securities transaction without first giving written notice to their firm and receiving approval. While Rule 3280 addresses a broker’s duties to their firm, the misconduct may also support an investor claim under FINRA Rule 2010 if the conduct involved deception, omissions, or other unethical behavior.

How is selling away different from fraud?

They’re not mutually exclusive. Selling away can be negligent, reckless, or outright fraudulent, but it always involves acting outside firm approval.

1 … 5 6 7 8

Investor Claims

Turning Broker Betrayal Into Broker Accountability

Fraud or Misrepresentation Alternative Investments Unsuitable Investments GWG L Bonds Claims Selling Away

Securities Violations

Robinhood & Self-Directed Investor Claims

Failure to Supervise Breach of Fiduciary Duty Broker Negligence

Our blog

New to FINRA arbitration? Have questions about the cases we take? We invite you to check out our Investor Guide to Securities Arbitration.

Two business professionals shaking hands in front of a modern office building, symbolizing a successful partnership.

FINRA Arbitration

Inspired Senior Living of Athens DST Investor Files Six-Figure FINRA Claim

FINRA claims involving Inspired Healthcare Capital DST investments raise questions about concentration risk, suitability, and sponsor exposure.

May 12, 2026

by Jorge Altamirano

FINRA Arbitration

Altamirano PLLC Obtains FINRA Arbitration Award After Defeating Motion to Dismiss

A denied motion to dismiss can be a critical turning point in FINRA arbitration. Altamirano PLLC successfully opposed dismissal at multiple stages and secured an award following a full hearing on the merits. Investors facing similar challenges may still have a viable path forward.

Apr 29, 2026

by Jorge Altamirano

Easterly ROCMuni Cases

Altamirano PLLC Files FINRA Claim Against Stifel Over Easterly ROCMuni Fund Losses

Investors who suffered losses in the Easterly ROCMuni Fund may have claims against the broker-dealer that recommended it. FINRA arbitration claims in cases like this typically focus on whether the recommendation was suitable, whether the firm conducted adequate due diligence, and whether the risks of the investment were clearly and accurately communicated before the investor committed their money.

Apr 23, 2026

by Jorge Altamirano

All Blog Posts