38 Years of Investor Representation Where Experience Matters Most


Investment Fraud Recovery

Things you need to know when taking Action to Recover from Investment or Stockbroker Fraud

Do you need investment fraud recovery? Lost significant amounts in your retirement or investment accounts and suspect wrong doing by your broker? You’re not defenseless. Here’re some of the best steps from a leading securities law firm that practices exclusively in the field of securities arbitration on behalf of retail or individual investors while seeking recovery for investor losses from brokerage firms nationwide.

The Mark A. Tepper Law Firm’s Best Steps
in seeking Investment Fraud Recovery

If you’ve lost significant amounts in your retirement or investment accounts there are a number of steps you should take immediately to seek recovery. The Mark A. Tepper law firm is dedicated to the rights of investors, and represents investor rights for investment loss recovery through securities arbitration. If you’ve suffered losses as a result of FINRA rule violations, you may be able to recover your losses with a FINRA arbitration claim. There are a number of things you should know.

1) Know Your Rights to Investment Fraud Recovery through Arbitration

Arbitration is the primary remedy to establish liability for investment fraud recovery. Many, if not all, brokerage firms or broker dealers have a pre-dispute arbitration provision in their customer agreements. This provision waives the customer’s right to go to court to seek recovery when signing any agreement to open a brokerage account. The customer agrees to resolve any dispute with the brokerage firm through arbitration. Investors are often unaware of this pre-dispute arbitration provision when they sign documents to open an account with a brokerage firm.

2) Know whether your Attorney has specialized experience in Investment Fraud Recovery

Attorney Mark A. Tepper is the former Chief Trial Counsel at the New York Attorney General’s Bureau of Investor Protection and Securities. He has earned the reputation of “Investor Advocate” while practicing law for more than 35 years representing individual investors. A member of the Florida, New York and California Bars, Mr. Tepper is peer rated AV PREEMINENT® for ethical standards and legal ability, the highest rating of lawyers in the Martindale-Hubbell Law Directory. Attorney Mark Tepper notes that one of the biggest complaints expressed by clients seeking his experienced counsel is dissatisfaction about being “left in the dark” by their previous attorney. Your relationship with your attorney should be one of complete trust. If you’re not being told about the process every step of the way, if you don’t understand what your attorney is doing on your behalf, then it’s time to find another attorney. At the Mark A. Tepper law firm there is no handoff to interns or junior staffers, Attorney Mark Tepper will personally represent you and your claim for recovery, every step of the way. An accurate evaluation of your claim will provide you with a realistic expectation for the potential recovery of your unexpected investment losses. At the Mark A. Tepper law firm we believe that the easiest client to represent is one who understands how we are working on their behalf.

3) Know that there is a need for urgency

Time limits your eligibility to file a claim. If you have unexpected losses in your retirement or investment accounts you’ll want to immediately investigate the viability of bringing a claim against your broker. Before an investment recovery can be made, the stockbroker or the brokerage firm’s liability must be established with evidence.

4) Know that your documents are important

For an authoritative evaluation of your potential claim, you’ll need to provide your attorney with copies of your monthly statements, each transaction confirmation that you’ve received from your brokerage firm as well as all other documents and correspondence, including email. Create a file that you can then manage as the claim progresses on your behalf while seeking recovery of your investment losses. If you don’t have all your records, the Mark A. Tepper law firm can still obtain them from other sources.

5) Know that it’s not your fault

Losing money with your broker happens with far greater frequency than many people realize. But victims of stockbroker or investment fraud tend to blame themselves when, in fact, they were relying on a stockbroker as a professional with superior knowledge to recommend how they should invest. Don’t be fooled by an aggressive stockbroker who tells you that it’s your fault or just to wait because everything is going to be alright. Your broker has a FINRA imposed duty to make suitable investment recommendations.

6) Know that you’re not alone

In addition to your attorney, State and Federal agencies are available to work with you.  In some cases, the Justice Department will work to obtain a conviction and/or the Securities and Exchange Commission (SEC) will seek an injunction.  But, to help you get your money back, your attorney must be focused on your investment fraud recovery.