We very much look forward to discussing with you (either in person or by phone) your potential case regarding your investment losses and possible securities fraud. To help us analyze your potential case, it would be helpful for you to gather the following documentation and information:
- Names and Relationship History. We’d like to obtain an understanding of the general relationship between you and your broker, and we’d like to perform some background research on your broker, including a review of any prior customer complaints or disciplinary actions by FINRA. To help with this, it is helpful to know the name of your broker and where he/she works. How long have you been a client and why did you begin investing with him/her?
- Account Statements. It is also helpful to know how much money you have invested with your broker, what investments the broker sold to you, and when the investments were sold. The easiest way for us to retrieve this information is to review copies of the account statements sent to you from your broker.
- Tax Returns. In determining whether a given investment was “suitable” or “appropriate” for you, it is helpful to have an understanding of your total financial picture, including your annual income and net worth. For example, is your net worth composed of stocks, bonds, mutual funds, alternative investments, annuities, land, home, cars, etc.? What is your annual income? Are you retired or about to retire? Do you have other sources of income, such as social security, rental income, pensions, etc.? Our goal is to compile a summary of your net worth. One of the tools used to perform this review is your federal tax return.
- Your History. The most important information we will obtain during our first discussion with you is simply information about you. This may include discussions about your educational background, your family, your employment history, and other pertinent details about your life. Most importantly, we will learn about your investment goals and why you think that those goals were not met by your broker.
* We stress that it is not a requirement that you gather this information and documentation prior to discussing your potential claims with us. We are always available to answer questions regarding potential cases, and we welcome your calls. The more information you can gather for us, however, the more prepared we will be for our discussions with you.