Nationally Recognized Securities Arbitration & Whistleblower Attorneys

We understand that the financial markets can be fraught with risks, but not all losses are due to market fluctuations. When financial professionals fail in their duties, whether through negligence, misrepresentation, or outright fraud, we step in to hold them accountable.

We believe that every investor, regardless of the size of their portfolio, deserves high-caliber legal representation when they have been victimized by financial misconduct. Your fight is our fight, and we are relentless in our pursuit of justice and financial recovery on your behalf.

Why Choose Iorio Law PLLC

• Experience: We have a proven track record of delivering favorable outcomes for investors and retail traders. With nearly 15 years of experience in securities arbitration, we have successfully helped investors recover investment losses in over 700 cases.  
• Client-Centered Approach: We tailor our strategies to meet the unique needs of each client, ensuring personalized attention and care. Mr. Iorio’s client reviews are a testament to how the firm effectively communicates with its clients and puts their needs first:
  • ★★★★★ “[August] is responsive, efficient, and very accommodating.”- Christine L.
  • ★★★★★ “I was impressed with August Iorio’s directness and clarity in explaining the claim process and how it might work out. I also appreciated his promptness in getting back to me when I had questions or other concerns.”  – Art H.
  • ★★★★★ “[August’s] professional demeanor, partnered with his responsiveness to our questions, suggestions, and ideas, made us feel as if we were a team with a common goal. He always kept us updated and informed and gave us realistic expectations, which resulted in a timely, fair, and suitable settlement.” – EB & SB
• Our Approach: We combine our knowledge with a client-focused practice tailored to each client’s specific needs and interests. Our approach is guided by our core values: integrity, excellence, and grit. Explore our strategic approach to securities arbitration that has helped recover nearly $100 million for harmed investors.
• Results-Driven: Our track record speaks for itself.  To date, Mr. Iorio has been instrumental in recovering nearly $100 million for investors nationwide. View securities arbitration case results and investor recovery outcomes, and read more about how Mr. Iorio has helped GWG L Bond investors recover over $3.5 million in losses, and his landmark FINRA arbitration victory against Robinhood on behalf of a harmed retail investor.  
• No Upfront Legal Fees – We Win When You Win: Our contingency fee structure means our interests are perfectly aligned with yours. You only pay a legal fee if we are able to recover money for you from a settlement, arbitration award, or legal judgment. We are invested in your success. Learn more about our contingency fee structure for investment loss cases.  

Iorio Law PLLC is a national securities arbitration law firm singularly dedicated to advocating for investors like you. Our practice is concentrated on securities arbitration, mainly through the Financial Industry Regulatory Authority (FINRA) Dispute Resolution forum, which is the venue for resolving disputes between investors and their brokerage firms. We possess an in-depth understanding of the intricate rules, procedures, and strategies essential for success in this specialized arena. We navigate the complexities of FINRA arbitration with precision and tenacity, from the initial claim filing through discovery, mediation, and the final arbitration hearing.

Ready to take action? Schedule your free consultation with a securities arbitration attorney today.

What Is Securities Arbitration? A Guide for Investors

Securities arbitration is a specialized area of law that deals with disputes between investors and their financial advisors, broker-dealers, or advisory firms. Unlike traditional litigation, arbitration is a private process in which a neutral third-party arbitrator (or an arbitration panel) makes a binding decision on the dispute. Most investor agreements include arbitration clauses, making this the primary avenue for resolving such disputes.

Securities arbitration is a unique and complex practice area. Investors should seek out experienced counsel who can navigate the arbitration or litigation process and effectively advocate on their behalf. With nearly 15 years of experience as securities arbitration lawyers, we have helped investors recover investment losses in over 700 cases. We understand the securities industry and represent individuals, businesses, and institutions in claims involving securities violations before arbitration forums, such as FINRA, AAA, and JAMS.   

Types of Investment Fraud and Broker Misconduct We Handle

The financial industry is complex, and unfortunately, this complexity can sometimes be exploited by unscrupulous brokers or negligent firms. Recognizing the signs of misconduct is the first step toward reclaiming your losses. Iorio Law PLLC has extensive experience representing investors in a wide array of claims, including but not limited to:

• Unsuitable Investment Recommendations: Brokers and financial advisors have a duty to recommend only those investments that align with the client’s financial situation, objectives, risk tolerance, and experience.
• Investment Recommendations Not in the Customer’s Best Interest: All investment recommendations to retail investors made after June 30, 2020, must be in the best interest of the client. If a broker or financial advisor fails to make a recommendation that is in the client’s best interest, it may be the basis for a claim.
• Misrepresentation and Omissions: Failing to disclose, or misrepresenting material information about an investment. This occurs when a broker provides false information about an investment or fails to disclose material risks. You have the right to make informed decisions based on accurate and complete information. Examples include downplaying risks, guaranteeing returns (which is almost always a red flag), or failing to disclose conflicts of interest.
• Churning (Excessive Trading): Excessive trading to generate commissions. If your broker is excessively buying and selling securities in your account primarily to generate commissions for themselves, rather than to benefit you, this is churning. It can deplete your account value through constant fees and potential losses, even if individual trades are profitable.
• Breach of Fiduciary Duty: Registered Investment Advisers (RIAs) and, in certain circumstances, brokers, owe their clients a fiduciary duty. This is the highest standard of care, requiring them to act in their client’s best interests at all times. Actions that benefit the advisor at the expense of the client, or failing to avoid conflicts of interest, can constitute a breach of this crucial duty.
• Unauthorized Trading: Executing trades without the investor’s consent. Your broker must obtain your permission before making trades in your non-discretionary account, unless you have given them written discretionary authority. Any trades made without your consent are unauthorized and can be a basis for a claim.
• Failure to Supervise: Brokerage firms have a legal obligation to adequately supervise their financial advisors and employees. When a firm fails in this duty, and an investor is harmed by a broker’s misconduct, the firm itself can be held liable for the investor’s losses.
• Failure to Diversify / Overconcentration: Over-concentration in a single investment or sector, increasing risk. Diversification is a key principle of sound investing. If your advisor concentrates a large portion of your portfolio in a single stock, sector, or asset class, it can expose you to excessive risk. If that concentrated position then loses significant value, your advisor may be liable for failing to appropriately diversify your holdings.
• Selling Away: When a broker sells securities not offered or approved by their employing brokerage firm.
• Margin Trading: Improper use or mismanagement of accounts where investors borrow money to purchase securities, leading to excessive risk or losses.
• Best Execution: Failure to execute client trades at the most favorable terms available under the circumstances.
• Financial Abuse of Elderly: Exploitation or misuse of an elderly person’s funds or assets by someone in a position of trust or authority.
• Financial Product Specific Fraud: We handle cases involving a wide range of complex financial products that are often misrepresented or sold to unsuitable investors, including:
  • Alternative Investments: A broad category of investments outside traditional stocks, bonds, and cash, often characterized by illiquidity, complexity, and higher risk.
  • Non-Traded Bonds: Non-traded bonds, unlike publicly traded bonds, are not listed on a major exchange and are generally more difficult, if not impossible, to sell. In addition to illiquidity risk, non-traded bonds, especially those not rated by independent credit rating agencies, may carry high credit or default risk.  
  • Private Placements & Regulation D Offerings: Investments in non-publicly traded companies that are generally high-risk and illiquid, suitable only for sophisticated, accredited investors who can afford to lose their entire investment.
  • Non-Traded REITs (Real Estate Investment Trusts): These are typically illiquid, carry high commissions, and their valuations can be opaque, making them unsuitable for investors needing access to their money or those with a low-risk tolerance.
  • Delaware Statutory Trusts (DSTs): A specific type of trust used for real estate investments, often marketed as a like-kind exchange (1031 exchange) solution, but can carry illiquidity and specific real estate market risks.
  • Unit Investment Trusts (UITs): Fixed portfolios of securities that are generally held until maturity, offering limited flexibility and potentially high upfront sales charges.
  • Business Development Companies (BDCs): Companies that invest in small and mid-sized businesses, often through debt and equity, and can be illiquid and carry higher risks than traditional equities.
  • Exchange-Traded Notes (ETNs): Unsecured debt instruments that track an underlying index, but carry the credit risk of the issuer and can have complex structures.
  • Exchange-Traded Funds (ETFs): Investment funds traded on stock exchanges, similar to stocks, but some may use leverage or track niche markets, increasing their risk.
  • Options Strategies: Complex trading strategies involving options contracts that can lead to significant losses if not properly understood and managed.
  • Bonds: Debt instruments where an investor loans money to an entity, but certain types (e.g., junk bonds, unrated bonds) carry high default risk.
  • Penny Stocks: Small company stocks that trade at very low prices, often highly speculative, illiquid, and subject to manipulation.
  • Mutual Funds: Professionally managed portfolios of stocks, bonds, or other investments, but some may have high fees, poor performance, or be unsuitable for an investor’s risk profile.
  • Annuities (Variable, Fixed, and Indexed): Insurance contracts designed to provide a steady income stream, but can have complex fee structures, surrender charges, and suitability issues, especially for seniors.
  • Structured Products: Complex debt instruments whose returns are linked to the performance of an underlying asset or index. They can be difficult to understand and carry significant risks that are not always disclosed.
  • Cryptocurrency and Digital Assets: Highly volatile and speculative digital assets, often lacking regulation and subject to significant price fluctuations and cybersecurity risks.
  • Single Stock Structured Products: Complex products linked to the performance of a single stock, often with limited upside potential and significant downside risk.
  • Equity-Linked Notes (ELNs): Debt instruments whose returns are linked to the performance of an underlying equity, carrying both market risk and the credit risk of the issuer.
  • Leveraged Exchange-Traded Funds (ETFs): ETFs that use financial derivatives and debt to amplify the returns of an underlying index, leading to significantly higher risk and potential losses, especially over longer periods.
  • Municipal Bond Arbitrage: A strategy involving municipal bonds that can be complex and involve significant interest rate and credit risks.
  • Promissory Notes: While legitimate promissory notes exist, fraudulent high-yield promissory note schemes are common, promising unrealistic returns with little to no risk.
  • Managed Future Funds: Funds that invest in futures contracts across various asset classes, often employing complex strategies and carrying significant risk and volatility.
  • Oil and Gas Private Placements: High-risk, illiquid investments in oil and gas ventures that are generally only suitable for sophisticated, accredited investors who can afford to lose their entire investment.
  • Oil and Gas Master Limited Partnerships (MLPs): Publicly traded partnerships primarily engaged in energy-related activities, often with complex tax structures and sensitivity to commodity prices.
  • Oil and Gas Royalty Trusts: Trusts that hold interests in oil and gas properties and distribute income from production, but are subject to commodity price volatility and depletion risk.]
  • Ponzi Schemes and Other Fraudulent Schemes: We represent victims of outright fraud, including Ponzi schemes where returns are paid to earlier investors using the capital of newer investors, rather than from legitimate profits.

If you suspect that any of these issues or other questionable activities have led to your investment losses, it is crucial to seek experienced legal counsel immediately.

How We Help You Recover Investment Losses

Our Approach: A Strategic and Client-Focused Path to Recovery

At Iorio Law PLLC, we understand that pursuing a securities arbitration claim can seem daunting. We are committed to guiding you through every step of the process with clarity, diligence, and unwavering support. Here’s how we work to recover your losses:

1. Free & Confidential Case Evaluation: It all starts with a conversation. We offer a free, no-obligation consultation to discuss your situation. You can explain what happened, and we will listen carefully, ask pertinent questions, and provide an honest assessment of your potential claim.
2. Thorough Investigation and Due Diligence: If we believe you have a meritorious claim, we will conduct a comprehensive investigation. This involves meticulously reviewing your account statements, communication with your broker, investment proposals, and other relevant documentation. We may also consult with financial experts to analyze trading patterns and assess damages.
3. Strategic Claim Development: Armed with the facts, we develop a tailored legal strategy designed to maximize your chances of recovery. We prepare a detailed Statement of Claim that clearly articulates the misconduct, the rules violated, and the damages you sustained. This document is the foundation of your arbitration case.
4. Navigating the FINRA Arbitration Process: We manage all aspects of the FINRA arbitration process. This includes selecting qualified arbitrators, conducting discovery (the process of exchanging information with the opposing side), drafting and responding to motions, representing you in mediation (a common step to try and settle cases), and, if necessary, vigorously advocating for you at the final arbitration hearing.
5. Zealous Advocacy at Every Stage: Whether negotiating a settlement or presenting your case before an arbitration panel, our advocacy is always aggressive, strategic, and backed by thorough preparation. We are skilled negotiators and experienced litigators, comfortable in any dispute resolution setting.
6. Contingency Fee Representation – No Recovery, No Fee: We believe that access to justice should not be limited by your ability to pay upfront legal fees. That’s why Iorio Law PLLC typically handles investor claims on a contingency fee basis. This means you pay no attorney’s fees unless we recover money for you. Our fees are a percentage of the amount we recover, aligning our success directly with yours.
7. Transparent Communication: We recognize the anxiety that accompanies financial uncertainty. We are committed to maintaining open lines of communication, keeping you informed of all significant developments in your case, and promptly answering your questions. You will work directly with an experienced attorney who is dedicated to your case.

You Are Not Alone – Take the First Step Towards Financial Recovery

Discovering that your trusted financial advisor or brokerage firm may have caused your investment losses can be an isolating, distressing experience. Many investors feel embarrassed or blame themselves, but it’s crucial to remember that the financial system has rules and standards of conduct in place to protect you. When those rules are broken, you have the right to seek recourse.

Don’t let intimidation or uncertainty prevent you from exploring your legal options. Large brokerage firms have powerful legal teams on their side; you deserve to have equally dedicated and knowledgeable advocates on yours. Taking action is the first step towards holding responsible parties accountable and potentially recovering what you’ve lost.

Practice Areas

• Securities Arbitration: Representing investors in disputes against financial advisors, brokerage firms, and investment advisory firms.
• Whistleblower Representation: Assisting individuals who report securities law violations to the SEC.
• Financial Fraud Schemes: Representing victims of financial fraud schemes.

Commitment to Integrity

At Iorio Law PLLC, our core values guide every aspect of our practice:

• Integrity: We uphold the highest ethical standards in all our dealings.
• Excellence: We strive for superior results through meticulous preparation and advocacy.
• Grit: We are relentless in pursuit of justice for our clients.

Frequently Asked Questions

Do I need a securities arbitration attorney?

If you’ve lost money due to stockbroker misconduct, unsuitable investment advice, or fraud, a securities arbitration lawyer can help you recover those losses through FINRA arbitration or other dispute resolution forums.

How Much Does It Cost to Hire Iorio Law Pllc?

We work on a contingency fee basis—you pay nothing unless we win your case.

Can I Sue My Financial Advisor or Brokerage Firm?

Most investor claims are resolved through arbitration, typically administered by FINRA, instead of traditional court litigation. At Iorio Law PLLC, we explain your rights, file the arbitration claim on your behalf, and handle every step of the legal process.

Contact Iorio Law PLLC Today for a Free and Confidential Consultation

If you believe you have been the victim of investment fraud, stockbroker negligence, or any other form of financial misconduct, don’t wait to seek help. The time to file a claim is limited by statutes of limitation and FINRA rules.

Contact Iorio Law PLLC today to schedule your free, confidential, and no-obligation case evaluation. Let us listen to your story, review your circumstances, and explain how we can help you fight for your financial future.

• Call Us: (646) 330-4624
• Email Us: info@iorio.law
• Visit Our Contact Page: Contact Form

At Iorio Law PLLC, we are more than just attorneys; we are your dedicated investor advocates. Let us put our experience, passion, and singular focus to work for you. Your fight for financial justice starts now.

Speak with a Securities Arbitration Lawyer Today

Recovering your investment losses starts with a free consultation. Contact us to talk to an experienced securities attorney.

☎ Call (646) 330-4624 | ✉ Email info@iorio.law | 📍 Based in New York, Serving Investors Nationwide