FAQs

Belfort Law, PLLC takes a client-focused approach to resolving disputes. We listen carefully to understand what happened, evaluating your claim honestly, and fighting aggressively to recover your losses. We believe investors deserve a dedicated advocate who knows the securities industry and the arbitration process inside and out. To learn more, check out our About Us page.

Belfort Law, PLLC is a boutique law firm that exclusively represents individual and institutional investors that have suffered financial losses due to stockbroker misconduct, financial advisor negligence, and/or investment fraud. These investors include, but are not limited to, senior citizens, retirees, persons with cognitive decline, trusts, estates, inheritors, widowed persons, divorced persons, athletes, entertainers, and entrepreneurs. We advocate for these investors in arbitration forums around the nation before registered arbitrators from the Financial Industry Regulatory Authority (“FINRA”), American Arbitration Association (“AAA”), and “JAMS.” We leverage our deep experience in broker-dealer securities litigation, arbitration, and regulation to strategically litigate claims. We know the playbooks of the broker-dealers and financial advisors we litigate against. In addition, we understand the investments and the laws, rules, and regulations violated. As such, we are uniquely equipped to negotiate early settlements, file arbitration claims, handle discovery, navigate mediations, and take disputes through a final and binding arbitration trial. We represent investors in customer disputes on a contingency fee basis.

Belfort Law, PLLC largely handles cases on a contingency fee basis. For our contingency fee cases, clients do not owe us any money upfront for legal fees unless we recover money for you. The amount of money we receive in legal fees at the end of the dispute is a percentage of the recovery we make for you. This arrangement ensures that our interests are aligned.

The most common ways investors find out that they were victims of investment fraud or broker misconduct include but are not limited to noticing (i) unexpected or significant losses in their portfolios; (ii) large, concentrated positions in one or a few securities; and (iii) unauthorized trades. While these are the most common ways investors discover financial misconduct, spotting financial misconduct outside of these scenarios can be difficult as bad actors are becoming increasingly sophisticated. If you have noticed any of the issues above in your portfolio, or if you suspect that you may be the victim of investment fraud, do not hesitate to contact Belfort Law, PLLC for a free consultation to evaluate your situation.

Generally, FINRA arbitration claims must be filed within six years of the event giving rise to the dispute. Some claims, however, may be subject to shorter statute of limitations under state or federal law. As such, it is important to act promptly — waiting too long can bar you from recovering your losses entirely. Contact Belfort Law, PLLC as soon as possible to ensure your rights are protected.

Yes. Belfort Law, PLLC represents investors nationwide as the FINRA arbitration process is national in scope, allowing arbitrators to resolve disputes remotely via telephone and video.

While the timeline can vary depending on the complexity of the matter and the forum, most cases resolve within 9 to 18 months. Simple cases may conclude sooner, while more complex matters can take longer. Belfort Law, PLLC will keep you informed at every stage and work efficiently to bring your case to a resolution as quickly as possible.

Key evidence includes, but is not limited to, new account forms, account statements, trade confirmations, correspondence with your broker or advisor, text messages, telephone call records, emails, and any other written or electronic communications regarding your investments. Do not worry if you do not have access to everything needed at the outset. Brokerage firms are required to maintain certain records and we can obtain them in discovery. At Belfort Law, PLLC, we will be sure to help you identify, obtain, and organize the evidence needed to build the strongest case possible.

To protect yourself against investment fraud you can take the following steps: (i) keep detailed records; (ii) review your transactions; (iii) review your statements; (iv) review trade confirmations; (v) review your investment objections; (vi) review your financial advisor’s BrokerCheck history; and (vii) add a trusted contact person to your brokerage account. If something does not feel right, trust your instincts and seek a second opinion from our office.

Belfort Law, PLLC represents investors in a wide range of securities fraud and broker misconduct cases, including:

• Breach of Fiduciary Duty
• Broker Fraud
• Broker Misconduct
• Churning
• Commercial Litigation & Appeals
• Complex Financial Products
• Defective Investment Products
• Elder Financial Abuse
• Excessive Trading
• Failure to Diversify and Overconcentration
• Failure to Supervise
• Fraud (10b-5)
• Investment Fraud
• Investor Mediations
• Junk Bonds Disputes
• Margin Calls & Securities Based Lending
• Misrepresentation/Omission
• Negligence
• Oil and Energy Investment Fund
• Ponzi Schemes
• Preferred Shares of Stock Fraud
• Securities Arbitration (FINRA, NFA, JAMS, and AAA)
• Securities Fraud
• Selling Away
• Stockbroker Fraud
• Stockbroker Misconduct
• Structured Products
• Unauthorized Trading
• Unsuitable Investment Recommendations
• Variable Annuity Investment Fraud
• Violations of Regulation Best Interest (Reg BI)
• Whistleblowers

During your free consultation, we will listen to your story, review any documents you have available, and give you honest feedback on whether you have a viable claim. There is no pressure and no obligation. If we believe that we can help you, we will explain the next steps in our process and what to expect. If your case is not one we can take on, we will let you know.