Prudent investments should result in enhanced financial security for you and your family. Unfortunately, not every financial or investment advisor is looking out for your best interests. Even though the law prohibits sellers from knowingly distributing fraudulent securities, some people will attempt to rob you of your hard-earned money through investment scams.

The Charleston securities lawyers at Rosen Hagood have experience handling all facets of securities litigation and arbitration matters against brokers, financial advisors, financial planners, brokerage firms, and banks. Primarily representing individual investors in both state and federal courts, as well as before the former National Association of Securities Dealers (NASD) and the current Financial Industry Regulatory Authority (FINRA), Rosen Hagood has successfully handled a wide variety of securities actions on behalf of our clients, including:

  • Claims for Suitability
  • Failure to Supervise
  • Breach of Fiduciary Duty
  • Minority Shareholder Oppression
  • Broker Fraud
  • Violations of State and Federal Securities Laws

Whether these matters are resolved through litigation or arbitration, our securities litigation team has the resources and experience necessary for success. Before a suit is filed, all securities claims are thoroughly evaluated for merit by an experienced, industry expert. We’ll then help you determine the best course of action to recover your financial losses.