When individual and institutional investors trust financial professionals with their portfolios, they trust them with the very security of their financial futures. When this trust is betrayed, it can be painful and outright devastating. The best way to gain compensation for the loss is to talk with a lawyer about the securities and investments issue.
The Boliver Law Firm
represents investors against financial professionals who have betrayed their trust. With law offices in Marshalltown, Iowa
, we have a longstanding presence handling securities litigation
and arbitration cases
in Iowa and Nebraska.
Note: Not everyone who has lost money through investments is the victim of securities malpractice. It is important to talk with an attorney if you think something is wrong. Contact the Marshalltown securities arbitration lawyer at the Boliver Law Firm by phone at 641-752-7757
in Iowa or 402-392-0107
At the Boliver Law Firm, we have a deep understanding of the complexities of securities law, and have recovered compensation for investors through FINRA arbitrations, settlements, and state and federal district court litigation, including the Iowa Supreme Court, the Nebraska Supreme Court, the 8th Circuit Court of Appeals, and the US Supreme Court. Experience has taught us that stockbroker and other financial advisor misconduct takes many forms:
- Creating unsuitable portfolios for investors
- Fraud or misrepresentation
- Churning (buying and selling investments in a portfolio on an excessive basis to generate fees)
- Failure to supervise a broker or a portfolio
- Lack of diversification or over concentration
- Failure to use due care or broker negligence
- Breach of fiduciary duties
- Misrepresenting financial products
- Annuities – excessive trading
We aggressively pursue claims of stockbroker and other financial advisor misconduct, malpractice, securities and investor fraud, and other forms of negligence committed by stockbrokers, certified financial planners, and registered investment advisors.
Our managing partner — Gail Boliver — is a member of the Public Investors Arbitration Bar Association (PIABA), an organization of attorneys representing investors in disputes with the securities industry. Mr. Boliver is an experienced securities attorney who has written articles in the PIABA Bar Journal and other publications.
Recognized as one of the most experienced securities and investment attorneys in the states of Iowa and Nebraska, he has in-depth knowledge of the rules of law and policies that affect investors in disputes with financial advisors and other financial professionals. Using this knowledge, he strives to help clients obtain the best possible results in securities arbitrations.
When investors open an account with a stockbroker or other financial professional, most sign an arbitration clause. The clause mandates that all securities disputes be resolved through FINRA arbitrations.
Unfortunately, arbitration can be an uphill battle for investors because it is supported by the finance industry. FINRA operates the largest dispute resolution forum in the securities industry, resolving disputes between investors, securities firms, and individual stockbrokers. Depending on the amount of money in dispute, arbitrations are resolved by one or three arbitrators. If the amount in dispute is more than $100,000, three arbitrators will be assigned to the case.
If your portfolio or your institution's portfolio has been mismanaged, contact the Boliver Law Firm by calling 641-752-7757
in Iowa or 402-392-0107