Financial Advisor Lawyer

Financial advisors, investment advisors, and financial planners are required by law to handle their client’s money responsibly and refrain from committing fraud or other forms of misconduct.

Our securities lawyers specialize in financial advisor misconduct. If your financial advisor has engaged in any form of fraud or negligence, you may be able to file a complaint or sue your advisor to recover your losses.

Need a Financial Advisor Lawyer?

We can help. All case evaluations are free and confidential.


Do I need a lawyer to sue my financial advisor?

Your ability to recover your losses due to financial advisor malpractice is dependent on a number of factors. Where and how you can sue your advisor changes depending on federal and state laws, the investments you hold, and the terms of the customer agreement or contract you signed when you began working with your advisor.

Bringing a case against your financial advisor can be a complex process. A good case often requires an attorney with in-depth knowledge about financial advisors and the financial industry.

The attorneys at Gibbs Law Group are extremely experienced in financial fraud litigation and have the track-record to prove it.

What can a lawyer help me sue my financial advisor for?

There are many different ways to sue your financial advisor and hold them accountable for fraud or negligence. Gibbs Law Group handles some of the most complex financial advisor cases, including:

  • Failure to disclose important investment information
  • Placing clients in unsuitable investments for their age and preferred risk
  • Overconcentration of a client’s portfolio
  • Executing unauthorized transactions
  • Providing unrealistic investment guarantees

Can a financial advisor attorney help me with FINRA arbitration?

In some instances, instead of pursuing a case through court, you may be able to pursue your case through the FINRA arbitration process.

FINRA recommends that you consider hiring an attorney when pursuing FINRA arbitration or mediation. This is because, according to FINRA, advisor firms are generally represented by an attorney. Firm’s attorneys are often well-versed in financial advisor conduct and the industry. In order to build a strong case against your advisor, you may need a lawyer who is just as, if not more, experienced that your advisor’s defense.

Gibbs Law Group has the financial expertise to properly represent you against your financial advisor. We work on a contingency basis, meaning there are no up-front fees. We only get paid if we win.

Investment Scams: Get Help from a Financial Advisor Lawyer

Investment scams have become extremely common in today’s economy. Even the most seasoned investors get caught in scams from time to time. If you fall victim to investment fraud, you may feel as though you have no where to turn. But there are options to recover your losses from investment scams, and you may be eligible.

Gibbs Law Group has continually been at the forefront of investment fraud prosecution. Our Financial Advisor Lawyers specialize in a variety of investment scams including pyramid schemes, ponzi schemes, EB-5 investment fraud, and real estate investment trusts. Speak with a financial fraud lawyer today and see how you may recover your losses.

Recover Your Losses

If you think your financial advisor took advantage of you or a family member, there are steps you can immediately take to fight back:

  1. Don’t delay
    Every legal claim has a certain amount of time in which you must file a lawsuit (known as a “statute of limitations”). If you don’t act within that time period, you may lose your ability to sue your broker. Sometimes when investors discover that they have been defrauded, they feel embarrassed and ashamed; this can paralyze people and prevent them from seeking help or taking quick action. Reacting rapidly when you discover a possible fraud is incredibly important because the passage of time may affect your rights.
  2. Gather your documents
    Financial statements, stock trades, customer agreements, emails, and other correspondence with your financial advisor could be relevant and useful. If don’t have immediate access to all records that are relevant to your case, however, we are still happy to consult with you.
  3. Consult with an experienced financial fraud lawyer
    Our skilled financial fraud lawyers can conduct an account audit to determine the full extent of your damages and determine whether misconduct occurred. Investment or financial advisors who commit one type of fraud or scam often don’t stop there — understanding the full extent of the harm is critical to determining how best to proceed.

No Cost to File

Some investors are concerned about the prospect of paying an hourly rate or having to pay out-of-pocket in advance for legal representation to sue their financial advisor. We represent our clients on a contingency or “success-fee” basis, which means that if you win the case, the lawyer’s fee comes out of the money awarded to you. If you lose, you will not be required to pay your attorney for the work done on the case.

We are happy to discuss any questions related to our fees as well as different arrangements we can structure.

Our Results in Financial Fraud Cases

H&R Block$19.4 million for consumers who were misled about the benefits and fees associated with Express IRAs
American Fair Credit Association (AFCA)$40 million settlement for members of the AFCA who were misled about credit repair programs
Chase Bank$100 million for Chase Bank customers after unilateral modifications to loans more than doubled their monthly payments
American Express$100 million for clients who received services from American Express Financial Advisors

Our Financial Fraud Experience

Gibbs Law Group’s financial fraud and securities lawyers have more than two decades of experience prosecuting fraud. Our attorneys have successfully litigated against some of the largest companies in the United States, and we have recovered more than a billion dollars on our clients’ behalf.

We have fought some of the most complex cases brought under federal and state laws nationwide, and our attorneys have been recognized with numerous awards and honors for their accomplishments, including Top 100 Super Lawyers in Northern California, Top Plaintiff Lawyers in California, The Best Lawyers in America, and rated AV Preeminent (among the highest class of attorneys for professional ethics and legal skills).
california lawyer attorney of the year CLAY award
titan of plaintiffs bar award
best law firm ranking
chambers USA leading firms award
daily journal top plaintiff lawyers award