Lost Money With a Broker or Financial Advisor? We know exactly where to look
Investor Rights - FINRA Arbitration
Randall & Associates represents investors who have suffered losses due to unsuitable investments, broker misconduct, and private placement fraud. Our attorneys have formed and advised the exact types of funds brokers or financial advisors push onto retail investors - which means we read the fine print faster and spot the misconduct others miss.
** No Fee Unless We Recover Money For You.
6 Years
The number of years investors have to file a FINRA claim from the date of misconduct.
69%
The percentage of FINRA customer cases result in a settlement - most before any court hearing.
$0
Upfront cost to you - we advance all the case costs and recover them from settlement.
Variable Annuity Misconduct
You were sold a variable annuity that was inappropriate for your situation, or switched into a new annuity to generate a fresh commission for your broker or advisor at your expense.
12-18 Months
The number of months to get resolution through full FINRA arbitration.
Why Randall & Associates
An insider’s view of the investments that hurt you
Most securities fraud attorneys learned investor law from the outside looking in. We come at it differently. Our firm actively forms private funds, drafts Regulation D offering documents, and advises fund managers on SEC compliance. When a broker or financial advisor put you in an illiquid alternative investment or a private placement, we have likely drafted dozens of documents just like it.
We know what a compliant PPM looks like — and when yours wasn't one. We know what a broker's suitability obligation requires — and when yours was ignored. That practitioner-level knowledge changes how we build your case.
We understand the regulatory landscape from both sides. Our firm has represented clients in SEC enforcement proceedings and advised on FINRA compliance. We know how brokerage firm compliance departments think, which means we know exactly where to look for documentation that proves what happened to you.
We are a securities law firm, not a volume operation. We evaluate every case ourselves. When we take yours, it is because we believe you have a legitimate claim — and we intend to see it through.
What We Handle
Types of broker or advisor misconduct we pursue
Misconduct takes many forms. If any of the following sounds like what happened in your account, your losses may be recoverable through FINRA arbitration.
Unsuitable Recommendations
Your broker or advisor recommended investments that did not match your age, risk tolerance, income, or investment goals in violation of FINRA Rules 2111 and Reg BI.
Failure to Supervise
Your broker's firm failed to detect or stop the misconduct. The firm — not just the individual broker or advisor — is legally responsible for supervising its registered representatives.
Misrepresentations & Omissions
Material facts about an investment's risk, liquidity, or return profile were misrepresented — or never disclosed — when your broker or advisor recommended it.
Private Placement Losses
You were placed in a Regulation D, Regulation A, or other exempt offerings that were illiquid, undisclosed, or misrepresented. Your broker may have earned a commission and you absorbed the loss.
Churning & Excessive Trading
Your account was overtraded, generating commissions for your broker or advisor while systematically eroding your portfolio.
OUR PROCESS
How We Handle
Your Matter
01 Free Case Evaluation
We review your account history, the investments at issue, and your losses. We will tell you directly whether we believe you have a recoverable claim, and why. Most evaluations are completed within one week of receiving your documents.
02 Engagement on Contingency
No fee unless we recover money for you. We work on full contingency — no hourly fees, no upfront retainer. Our fee (33% of recovery pre-hearing; 40% if the case proceeds to an evidentiary hearing) is paid only if we recover money for you. We advance all case costs.
03 Investigation and Claim Development
We analyze your account records, calculate your damages three ways, research your broker's complaint history on BrokerCheck, and build the legal theory before filing. A well-prepared claim is a more powerful settlement tool.
04 FINRA Arbitration Filing
We file your Statement of Claim with FINRA naming both the broker-dealer firm and the individual representative. The firm — with its compliance obligations and insurance — is typically the primary recovery target. Our Statement of Claim is customized to your case, thorough and persuasive.
05 Resolution: Settlement or Hearing
Approximately 69% of FINRA customer cases resolve in settlement. We pursue the best outcome available — whether that is a negotiated recovery or a full arbitration hearing before a panel. We keep you informed at every stage.
WHY RANDALL
What Sets Our Firm Apart
You work directly with your attorney — not a rotating cast of associates. In high-stakes enforcement matters, continuity and direct communication are not luxuries; they are requirements
Enforcement matters are sensitive. We handle every matter with complete confidentiality and do not publicize client representations. Your situation stays between you and your legal team.
Practitioner-Level Market Knowledge
Our managing partner is an active private markets participant — not just a lawyer who reads about deals. When regulators examine your fund structure, offering documents, or investor communications, we understand exactly what they're looking at.
Transparent, Flat Fee Options
For defined-scope matters, we offer flat-fee arrangements so you know your costs from the outset. Enforcement proceedings are stressful enough without unpredictable legal bills compounding the pressure.
Non-Traded REIT Losses
You were sold a non-traded real estate investment trust by a Broker or Financial Advisor without the adequate disclosure of its illiquid nature, fees, or risk profile in violation of FINRA rules.
Reg BI Violations
Broker-dealers must act in your best interest, not merely recommend "suitable" products. Violations of Regulation BI are an increasingly common and successful claim basis.
Full-Service: Formation to Defense
We form private funds and draft the Reg D documents that become the center of enforcement disputes. Few firms can advise on both sides of the same transaction. That integrated knowledge shapes a more effective defense.
Nationwide Representation
Our attorney is licensed in multiple states and we represent clients across the country in SEC and FINRA related matters. Geography is not a barrier.