A significant recovery via confidential mediation was reached for our client who where we had alleged that the broker engaged in the practice known as “Twisting” (replacing variable annuities for the commissions) with the proceeds from her husband’s life insurance and pension funds after his passing.
Your financial advisor has an obligation to put your interests ahead of theirs and to ensure that any recommendations that are made are appropriate for you and in your best interests. Failure to do so can entitle an investor to recover what they lost as well as what they should have made on the investments they were sold.
In this case, the Securities Lawyers team at Halling & Cayo, S.C. was able to obtain a substantial recovery for our client via a confidential mediation which resolved the FINRA arbitration that had been brought.
Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.
He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.
Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.