Do You Have a Securities Claim?

The laws and regulations that might apply to any potential securities claims you might have will depend on the specific circumstances of your case. That is why it is important to meet with an experienced securities attorney in order to evaluate your claims and determine whether you could be entitled to recover damages.

If you hire Jacobson Law P.A., our attorneys will take the time to meet with you personally to learn the unique facts of your case, to make sure we fully understand your specific goals and objectives, and to determine the strengths and merits of your potential claims.

In the meantime, you can complete the following questionnaire to get a general sense of whether you might have a viable securities claim and could be entitled to damages under the law. This questionnaire is offered for informational purposes only and is not intended to be a substitute for the professional judgment of an experienced securities attorney.

1. 

My financial advisor did not fully explain to me the features and risks of my investments.

2. 

My financial advisor recommended investments that were unsuitable for me — e.g., too risky, to speculative, etc.

3. 

My financial advisor over-concentrated my account in unsuitable investments.

4. 

My financial advisor failed to recommend hedging strategies to limit the risk of my investments.

5. 

My financial advisor executed trades in my account without my prior approval.

6. 

My financial advisor excessively traded the investments in my account in order to earn more commissions.

7. 

My financial advisor stole from me.

8. 

My financial advisor lent me money/borrowed money from me.

9. 

My investments at issue included annuities, structured products, option, and/or trading on margin.

10. 

My investment turned out to be a Ponzi scheme.

11. 

It’s not just my word, I also have documents, emails, recordings, and/or video to support my claims.2

12. 

It’s not just my word, I also have one or more witnesses to support my claims.3

13. 

My account was “discretionary” — i.e., my financial advisor had authority to execute trades in my account with talking to me first. 4

14. 

My financial advisor made over $100,000 in commissions and/or fees from selling me the investments at issue.

15. 

My brokerage firm’s management did not speak to me before I complained.

16. 

My financial advisor has a history of prior complaints/regulatory issues (if you do not know, enter no).

17. 

My primary investment objective was income or preservation of capital.

18. 

Enter your level of investment sophistication (enter 0 for high, 1 for moderate, or 2 for low)

19. 

Enter your age.

20. 

Enter the month and date (MM/YYYY) that the wrongdoing occurred (if you do not know the exact date, enter your best guestimate)6

21. 

Enter the dollar amount of damages you have suffered (if you do not know the exact amount of your damages, enter your best guestimate)7