Not every bad investment is illegal – but when firms misrepresent risk, push complex products without proper disclosure, or recommend vehicles that don’t match your needs, that’s a problem. At Altamirano PLLC, we hold broker-dealers and financial advisors accountable when the products they sell cause real financial harm. Whether it’s a leveraged ETF, structured note, or variable annuity, we help investors identify what went wrong, and pursue claims that get results.
Investor Products
GWG L Bonds Claims
Lost money in GWG L Bonds? You’re not alone. Altamirano PLLC helps investors hold brokers accountable and recover losses through FINRA arbitration. GWG raised more than $1.6 billion selling L Bonds pitched…
Inspired Healthcare Capital (IHC) DSTs | Suspended Distributions
Altamirano PLLC is investigating potential claims on behalf of investors in Inspired Healthcare Capital (IHC), an Arizona-based alternative investment sponsor that has suspended all investment offerings and distributions during a regulatory review…
Easterly ROCMuni High Income Fund (RMJAX, RMHIX, RMHVX) Losses
Altamirano PLLC is investigating claims involving the Easterly ROCMuni High Income Fund (RMJAX, RMHIX, RMHVX). Marketed as a municipal bond fund, Easterly ROCMuni collapsed after concentrating in junk-rated debt, distressed projects, and…
Turning Broker Betrayal Into Broker Accountability
Our practice includes representing investors in securities arbitrations that involve the following types of claims:
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Regulation Best Interest (Reg BI)
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Unsuitable Investments
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Selling Away
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Securities Violations
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Robinhood & Self-Directed Investor Claims
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Fraud or Misrepresentation
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Failure to Supervise
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Broker Negligence
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Breach of Fiduciary Duty
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Alternative Investments
Alternative investments are often sold as safe, income-generating opportunities but in reality can be illiquid, high-risk, and misrepresented by brokers. Altamirano PLLC represents investors nationwide in FINRA arbitration to recover losses caused by unsuitable or fraudulent alternative investments.
Investors who suffered losses due to Reg BI violations or other broker misconduct can pursue recovery through FINRA arbitration. Reg BI also strengthens traditional claims by giving investors a clear standard to prove that a broker’s conduct fell short of what the rule requires. Common claims include unsuitable recommendations, failure to disclose conflicts, negligent supervision, misrepresentation or omission of material facts, and breach of duties owed under Reg BI.
When you’re steered into high-risk or complex products that don’t fit your goals or risk profile, you shouldn’t have to bear the loss alone. Under FINRA rules, brokers must consider your age, financial situation, investment experience, and objectives before recommending any products. At Altamirano PLLC, we rigorously review your account and broker conduct to hold firms accountable for pushing unsuitable investments.
"Selling away” occurs when a broker sells investments not approved or vetted by their firm. FINRA strictly prohibits this practice because it bypasses due diligence and exposes investors to unvetted, risky investments. We aggressively pursue claims against brokers who engage in selling away to hold them accountable and help investors recover their losses.
Federal and state laws provide clear protections for harmed investors, prohibiting misrepresentation, deceit, and fraud. Advisors and firms often violate these rules and fail to act in their clients’ best interests. Our team investigates these violations and pursues all available claims under federal, state, SEC, and FINRA rules to recover your investment losses.
Trading restrictions, platform outages, and related misconduct on self-directed investment platforms can disrupt your strategy and lead to significant losses. During the 2021 GameStop short squeeze, several online brokers restricted trading at critical moments. We represent traders in claims against fintech brokers for negligence, system failures, and other securities violations.
Brokers who misrepresent material information, make false statements, or omit critical facts deceive investors. We trace deceptive pitches, whether oral or in writing, and help you bring a FINRA claim to recover losses from investments built on fraudulent misrepresentations and omissions.
Firms must actively supervise their brokers and maintain systems to ensure compliance with securities laws. When lax supervision leads to misconduct causing investor losses, the firm can be held liable. We pursue claims against firms that fail to detect and stop rogue advisors.
Broker negligence occurs when a financial advisor or firm fails to meet the required standard of care. Failure to conduct due diligence, failure to diversify, or failure to execute trades can lead to significant losses. We investigate negligent conduct and pursue recovery when substandard advice or execution causes you harm.
Brokers must act in their clients’ best interests. When they put their own interests first, churning accounts for commissions or pushing proprietary products to generate fees, you may have a claim for breach of fiduciary duty.
Alternative investments are often sold as safe, income-generating opportunities but in reality can be illiquid, high-risk, and misrepresented by brokers. Altamirano PLLC represents investors nationwide in FINRA arbitration to recover losses caused by unsuitable or fraudulent alternative investments.
