Services for Individual Investors

Over the past several years, more and more investors have waded into the uncertain waters of FINRA arbitration to resolve disputes with their brokers/advisors.  Because of this, the need for experienced guidance is also on the rise.  SCM specializes in this unique area of dispute resolution.


There are numerous reasons for an investor's account to lose value.  Many losses are often caused by the fluctuations of a volatile market and cannot be blamed on a broker/advisor.  However, the following are some of the most common claims that warrant action against brokers/advisors:  

  • Unsuitable investment recommendations
  • Churning
  • Unauthorized Trading
  • Breach of Fiduciary Duty
  • Misrepresentations
  • Omissions
  • Negligence
  • Fraud
  • Inappropriate Use of Margin
  • Breach of Contract  

If you believe you have been the victim of any of these actions, contact SCM immediately for a free consultation and evaluation of your complaint.


SCM has worked with some of the very best securities litigators in the country.  From these relationships and connections, SCM can refer you to an appropriate attorney whose strengths best match your case facts and any special needs.


Account Analysis

At the heart of every securities case is a comprehensive analysis of the economic damages suffered by the investor and an understanding of why those losses occurred.  Knowing the exact amount of money lost due to a broker's bad acts during the onset of a case ultimately leads to a smoother and quicker resolution.  SCM utilizes the best analytic tools and know-how to get to the bottom line.


Free Consultation

SCM offers a free initial consultation.  SCM knows the right questions to ask to determine if an investor's complaint rises to the level of an actionable claim that could potentially lead to a meaningful recovery.


Call Today

If you are suspicious of your broker's actions, contact Securities Claims Management today for a FREE consultation and initial evaluation of your complaint.