"Jorge secured a result in our case that felt like a true victory. That, of course, is vitally important. But what is equally noteworthy is how Jorge confidently led us through the process. No questio...
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"I heard about one of Jorge’s cases on the news and knew that if anyone could help me, it was him. He didn’t disappoint – he and his team went above and beyond to find a resolution to my case th...
Read More"I contacted Attorney Altamirano to handle a FINRA arbitration. The result was a settlement far beyond my expectations. Without him, I likely would’ve recovered nothing. If you believe in your case,...
Read More"I was sold a large number of bonds that turned out to be a deeply flawed investment product. I trusted my former financial advisor because he held himself out as a fiduciary and assured me he would a...
Read More“Working with attorney Jorge Altamirano made this process smooth, easy and comfortable for me as a client. He was diligent, very professional, respectful and a gentleman. I always felt that I was in...
Read More“I reached out to Jorge Altamirano after reading about his successful case for a client that was affected by trading restrictions on certain stocks. I was impressed that Jorge was able to attain suc...
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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.
