An Overview of Our Securities Litigation Practice
Attorneys Daniel R. Whitmore and Allen A. Glass aggressively represent individuals who have suffered financial losses because of misconduct by a financial planner or broker. We have over 30 years of combined legal and financial experience, including time on Wall Street, with big 5 accounting firm, with the FDIC, the SEC and the Massachusetts state securities division. If you have put your trust in a financial advisor and your trust has been betrayed, we can help. Contact our office or call us at 206-329-8400 for a free initial consultation.
Misrepresentation of Risk
We protect the rights of individuals who have lost investment value because a broker or financial planner misstated or misrepresented the level of risk in a particular security. We handle claims involving a failure to disclose the level of risk, the recommendation of stocks of securities that are inappropriate for your age or wealth level, and the sale of certain types of inherently risky investments, such as collateralized mortgage obligations (CMOs). See our page on risky investments and misrepresentation to learn more.
Excessive Trading or Churning
If you have lost investment value because your broker moved stocks or other securities in and out of your portfolio, taking commissions on every trade, we can help you recover for your losses. Such action often constitutes a breach of fiduciary duty, as well as a conflict of interest. To learn more, go to our page on excessive trading or churning.
Failure to Diversify Investment Portfolios
We represent people who have suffered financial loss because a broker or financial advisor failed to properly diversify their portfolio and spread their investment risk. We protect the right of clients who have over-purchased company stock on the advice of a broker or financial planner, as well as individuals with small portfolios who have been sold shares of common stock or individual bonds. For additional information, see our page about helping you recover for a lack of diversification.
Misappropriation and Unauthorized Trading
If you have been the victim of broker or financial planner theft or a financial advisor has diminished the value of your portfolio through unauthorized trading in your account, we will work with you to help you recover full and fair compensation for all your losses. To learn more, see our page on misappropriation and unauthorized trading.
We take all claims on a contingent fee basis. We will not charge attorney fees unless we recover compensation for your losses.
To schedule a free initial consultation, contact us or call us at 206-329-8400. Our office is open Monday through Friday, from 8:30 am until 5 pm, and evenings and weekends by appointment. We are located near the Fishermen's Terminal in Seattle. We have a Spanish speaking paralegal on site, if necessary.
