Investor FAQs | FINRA Arbitration Law Firm

What if I signed paperwork that disclosed risks, do I still have a case?

Yes. Brokers cannot hide behind fine-print disclosures if they misrepresented or omitted key risks, or pushed products that were unsuitable for your risk tolerance and objectives. Arbitration panels routinely find that reliance on a broker’s oral representations outweighs generic risk language in offering documents. In fact, oral misrepresentations or omissions are actionable even if the written materials contradict what the broker said or include the information that was withheld.

Is the six-year rule different for alternative investments?

No. Under FINRA Rule 12206, arbitration claims can be filed within six years from the occurrence or event giving rise to the claim. The same eligibility rule applies to alternative investments, even if they have long maturities or lock-up periods. Because alternative products are often illiquid, many investors do not realize the full extent of their losses until years later, or until the issuer files for bankruptcy, as GWG Holdings did, which affected thousands of GWG L Bond investors. Arbitrators decide questions about eligibility, which makes it critical to act quickly to protect your rights.

My broker told me alternative investments were “safe” or “guaranteed.” Is that fraud?

Yes. Brokers cannot describe speculative products as safe or guaranteed. Such statements are misrepresentations of material fact and can form the basis for recovery in arbitration.

Can I pursue a claim if my alternative investment hasn’t completely failed?

Yes. Even if your statement still shows a paper value, you may have an unsuitable investment claim if the product was misrepresented, unsuitable for your profile, or if your funds are locked up in a product you cannot access without significant loss. Investors do not need to wait for a total collapse to pursue FINRA arbitration.

Are all alternative investments fraudulent?

No. Some alternatives may be appropriate for sophisticated investors with high risk tolerance and long time horizons. The problem arises when brokers push these complex, illiquid products on ordinary investors who are misled about the risks.

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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

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