Strong Advocates for Our Clients in Disputes with the Securities Industry
We Represent Investors Nationwide
We Know FINRA Arbitration and Mediation
We Work to Recover Your Investment Losses
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Trusted Attorneys Protecting Investors Nationwide.

Experienced. Compassionate. Effective.

We help investors across the country recover losses in cases of portfolio mismanagement, broker fraud, fraudulent investments, elder financial abuse, and similar situations.

We have received settlements, judgments, and arbitration awards in the many millions of dollars for our clients. Our specialized investment litigation practice pursues claims for monetary recovery in FINRA arbitration, with its specialized securities arbitration rules, as well as through mediation, and courts of law. With our knowledge and depth of experience, you’ll know what to expect, and what your options are.

We provide compassionate help for clients whose financial losses are not just economic, but also deeply personal. Above all, we focus on getting results.

Call Us About Your Investment Concerns

Darlene PasiecznyAll calls are confidential. Many of our cases are handled on a contingency fee basis, which means we don’t get paid unless you recover your investment losses.

Attorney Darlene Pasieczny explains in this short video: How can an experienced securities attorney help investors who are concerned about their portfolio?

Concerned? See below for Red Flags of financial abuse, and common types of securities claims and products that we handle.

Based in the Pacific Northwest.
We Represent Investors Nationwide

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    PLEASE DO NOT SEND ANY CONFIDENTIAL INFORMATION TO US VIA THE INTERNET PRIOR TO CONSULTING WITH ONE OF OUR ATTORNEYS.

    Ten Red Flags for Investors

    1. Risk Tolerance Not Discussed or Downplayed
    Your financial advisor didn’t discuss your risk tolerance with you, told you “not to worry” about that category when filling out account paperwork, or you somehow ended up with a higher risk portfolio than you wanted.  Any reported swing in portfolio value of more than 10% up or down, when you’re a conservative or moderate investor, is a red flag.
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    2. Surprise Illiquidity or Sales Fees
    You discover that you cannot liquidate investments that you thought you could sell. Or you discover an unexpected high fee or surrender charge for selling.
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    3. Lots of “Alternative Investments”
    Big portions of your portfolio are used to purchase “alternative investments” – things like interests in limited partnerships (LPs), non-traded REITs, private placements, and interests in limited liability companies (LLCs). Many of these investments come with a prospectus, require you to complete special forms just to purchase them, carry high risk for investors, and pay big commissions to the selling brokers.
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    4. Told Must Sign As “Accredited Investor”
    You are encouraged to purchase investments where you must formally certify that you are an “accredited investor”. These investments also often carry a high degree of risk and are only designed for people who can afford to lose all of their investment.
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    5. “Opportunity Won’t Last” Pressure
    You are advised to purchase investments the same day that they are offered to you, without giving you a chance to think about it, especially when your advisor says that the opportunity won’t last long. If you feel any sense of rush, surprise, or pressure to make any investment decision, that’s a red flag.
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    6. Can’t Get Answers or Information
    Your account statements stop arriving, your broker is suddenly hard to reach, or your advisor discourages you from discussing your investments with anyone else at the brokerage company.
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    7. Account Statements Seem Irregular
    You have investments that do not appear on the brokerage company’s account statements that you receive. Or the statements otherwise look irregular, show frequent transactions that you don’t understand, or don’t add up.
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    8. Return % Too Good To Be True
    Your financial advisor promises returns that seem too good to be true. In today’s market, there are no legitimate, safe and secure investments that can guarantee an 8% annual return year after year. Any promised return that seems like an unusually good deal deserves closer scrutiny.
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    9. Just Can’t Understand the Investment
    You are offered an investment that you do not understand. Or your portfolio contains investments that, on closer examination, are not plausible or understandable.
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    10. Concerned About Broker Conduct
    You discover that your advisor has multiple disclosures when you look him or her up on FINRA’s BrokerCheck system (search by name here.) Disclosures may include prior client complaints, bankruptcy, termination from prior employers, regulatory investigations and sanctions, criminal charges, on-going or resolved client disputes. These are all red flags about a broker’s prior conduct that you probably want to know about before entrusting them with your money.
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    Securities Cases We Pursue

    Securities Fraud or Misrepresentation

    Breach of Fiduciary Duty

    Broker Negligence

    Broker Theft

    Churning (Excessive Trading)

    Failure to Supervise

    Unsuitable Investments

    Overconcentration (Failure to Diversify)

    Ponzi Schemes

    Selling Away

    Unauthorized Trading & Failure to Execute

    Elder Financial Abuse

    SEC Whistleblower

    Participant Liability

    Stockbroker & Registered Investment Advisor (RIA)

    Reviews & Case Results

    COMPASSIONATE
    “Thank you for your most kind and efficient treatment during my dilemma.”
    – Client, 90 years old, overconcentration in oil and gas investments
    EXPERIENCED
    “From the first time I spoke with her about my lawsuit, to the successful conclusion, Darlene was always the support I needed.”
    – Client, retired professional, unsuitable promissory note investment.
    SMART
    “You folks put on an excellent case and we were, to say the least, extremely nervous about the outcome.”
    – Opposing counsel, unsuitable investment portfolio allocation case.
    EFFECTIVE
    “Darlene was so helpful in this matter, I had been trying for months to get help and she came through for me . . . I would recommend her in a heartbeat.”
    – Investor, Variable Annuity and Broker Failure to Follow Instructions.
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    CASE RESULTS