What Is Involved In Bringing A Claim Against A Financial Professional?

First, we meet with you in person (if you live in the greater Harrisburg area of PA) or by telephone to evaluate your case. Next we review your records and account statements. Then, if there appears to be an actionable violation of a law or a regulation, we will contact the financial professional on your behalf to determine if a resolution is possible without Securities Arbitration or Securities Litigation.

If a resolution is not possible at that point, we will evaluate whether to pursue a Securities Arbitration in FINRA arbitration, or Securities Litigation in court. Most written agreements with stockbrokers and the companies they work for require that the customer-investor take all claims and disputes to Securities Arbitration run by FINRA (Financial Industry Regulatory Authority).  Depending on the facts of the case, we will recommend proceeding in court or in arbitration. We will prepare the legal pleadings and work with you to prepare the case for Securities Litigation in court, or Securities Arbitration in FINRA arbitration.

The cost of bringing a claim against a financial professional can be a major obstacle for many customer-investors. In most cases that we agree to take, we will provide our legal services on a "contingent-fee" basis with the client paying the costs but not our legal fees unless we are successful in obtaining an award or a settlement for the client. A contingent fee arrangement is often the only way a customer-investor with a relatively small loss can afford to get access to a forum for a just resolution of their claim.

   

If you are interested in having us review your situation, complete the e-mail contact request here or contact us in any of the following ways:

Telephone: 717-691-9809

Mail: Rob Bleecher, Esquire
PECHT & ASSOCIATES, PC
1205 Manor Drive, Suite 200
Mechanicsburg, PA 17055