Practice areas
Unsuitability
Unsuitability is a broker recommending an investment or strategy that does not fit your age, finances, goals, or tolerance for risk. FINRA rules and Regulation Best Interest require recommendations in your best interest. Losses from unsuitable recommendations can be recovered.
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
Unsuitability: what clients ask
What makes an investment unsuitable?
An investment is unsuitable when it does not match the customer's profile: for example, speculative products for a retiree who needs income, heavy concentration in one stock, or illiquid investments for someone who needs access to cash.
I signed forms saying I was an aggressive investor. Does that end my claim?
Not necessarily. New account forms are often filled out by the broker, and the risk tolerance listed may not reflect what you actually said or understood. Arbitrators look at your real circumstances, not just the paperwork.
What is Regulation Best Interest?
Since 2020, Regulation Best Interest has required brokers recommending investments to retail customers to act in the customer's best interest and not put their own interests ahead of the customer's.
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.