Securities Arbitration

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Law Office of John M. Verdecchia • No Fee Unless We Are Successful

The Process   
The first step is to gather all of your paperwork including client agreements, account statements, etc. and contact my office forthwith.  We will then conduct an interview with you either by e-mail or telephone to obtain additional information.  We will review your situation and make a preliminary determination as to whether you have a potential claim for recovery.  All of this preliminary review is free of charge and comes with no obligation.   

If we determine that you have a claim, we will then contact the representatives of your broker/financial advisor and attempt to negotiate a settlement.
If a settlement cannot be achieved, the final step would be a request to arbitrate your claim.


Many investors do not realize that they have legal resources when their investments result in loses or even minimal gains. Brokers and brokerage firms have a legal duty to put the interests of client ahead of their own. Unfortunately, this is not always the case.


As a general principal, negligence is the failure to use reasonable and/or ordinary care when dealing with another. With brokers and the firm they work for, negligence can take many forms, but is not limited to, failure to place the client in an appropriate investment, failure to diversify the client’s portfolio, failure to take into account the client’s risk tolerance where selecting an investment and other actions. It is important to know that the broker in the firm need not act intentionally. All that is required to have a viable claim is the expectation of a duty to act responsibly on the clients behalf and failure to do so. If these two elements are present, a negligence claim ought to be pursued.

One of the most important responsibilities that your financial adviser has is to fully disclose and explain the risk associated with every investment in your account. Communication is one of the most important criteria that must be maintained in the adviser-client relationship. From the time the initial investment is made on your behalf, as well as on an ongoing basis, it is critical that your adviser informs you of any material developments that affect your account. Advisers must communicate, explain, and disclose this information in a timely manner. If you have experienced poor performance in your overall account, or in an individual investment in your portfolio without an explanation and recommendation from your adviser, you may have a basis for filing a complaint.

Have you lost money in your investment or retirement account?

If you said yes, you may be entitled to recover some or all of your losses!
At the Law Office of John M. Verdecchia, we have staff with over 20 years of experience in the brokerage industry. We can evaluate your case and determine if you have a cause of action.

Ask yourself a few questions.  Did your broker/financial adviser do any of the following:

    •    Recommend a risky investment such as a highly speculative stock?
    •    Recommend unsuitable investments such as private equity, highly leveraged ETFs, hedge funds, or other risky investments? 
    •    Did they recommend investing in commodities such as oil, gas or gold?
    •    More importantly did your broker/financial adviser take steps to limit your losses?

Broker misconduct can take many forms such as:

  • Charge high fees while your portfolio lost money
  • Overtrading your account;
  • Pressure from your broker to buy certain stocks or funds;
  • Not fully disclosing downside risks; and
  • Telling you to be patient because you are in it for the "long haul"

These are only a few of the grounds you may have to recover your hard earned money.  If you are not satisfied with the performance of your investments, let us review your portfolio free of charge.
We will determine if you have a legal claim and whether you can expect to recover some or all of your losses at no cost to you.  You owe nothing unless we obtain a recovery.

Do not wait as there are time restrictions which govern the bringing of claims.
Call my office today for you free initial consultation.

Call Today: (401) 453-0700

Practice Areas


Recovery Attorney

Representing Victims of Securities Fraud