Practice areas

Investment Advisor Misconduct

Name: Stoneman Law
Address: 301 Snowcrest, Westcliffe, CO, 81252, US
Telephone: (719) 783-0303
Price range: Free consultation — hourly, contingency, or hybrid fee arrangements

Registered Investment Advisors owe their clients a fiduciary duty: the highest standard of care, requiring loyalty and full disclosure of conflicts. When an advisor breaches that duty and you lose money, you may have a claim to recover it.

Unlike brokers, registered investment advisors (RIAs) are held to a fiduciary standard — they must always act in the best interest of their clients. Violations include self-dealing, undisclosed conflicts of interest, mismanagement of funds, and breach of their advisory agreement. Ms. Stoneman represents clients with claims against both RIAs and broker-dealers.

If any of this sounds like your account, the next step costs nothing: a free, honest evaluation. Tell me what happened or call (719) 783-0303.

Common questions

Investment Advisor Misconduct: what clients ask

How is an investment advisor different from a stockbroker?

Advisors are regulated under the Investment Advisers Act of 1940 and owe a fiduciary duty at all times. Brokers are regulated by FINRA. Many professionals are registered as both.

Do advisor disputes go to FINRA arbitration?

Not always. If the advisor is not a FINRA member, the dispute may go to a different arbitration forum or to court, depending on the advisory agreement.

What are common advisor claims?

Undisclosed conflicts of interest, excessive or hidden fees, unsuitable strategies, poor supervision of third-party managers, and failure to follow the client's stated objectives.

Your move

A free evaluation has no downside other than your time.

Tell me what happened. I will tell you honestly whether you have a case worth pursuing — and every way I can be paid, including contingency: nothing unless you recover.

Free case evaluation (719) 783-0303