Recover Investment
Losses Nationwide
Losses Nationwide
About Iorio Law PLLC
A New York securities arbitration law firm that represents investors, and only investors, nationwide.
Iorio Law PLLC is a boutique law firm focused exclusively on securities arbitration and investor advocacy. Founded by August M. Iorio, a New York securities arbitration attorney, the firm helps individual and institutional investors recover financial losses caused by stockbroker misconduct, financial advisor negligence, investment fraud, and violations of FINRA and SEC rules.
We represent investors only. We never represent broker-dealers, advisory firms, or financial advisors. That singular focus keeps our interests aligned with yours in every case we take on.
What we do
Our practice is concentrated on securities arbitration, mainly before the Financial Industry Regulatory Authority (FINRA) Dispute Resolution forum, where disputes between investors and their brokerage firms are resolved. We handle claims from the first assessment through discovery, mediation, and the final arbitration hearing, including:
- Unsuitable investment recommendations and violations of Regulation Best Interest (Reg BI)
- Misrepresentations and omissions of material facts, and securities fraud
- Churning and excessive trading
- Breach of fiduciary duty
- Unauthorized trading
- Failure to supervise by brokerage firms
- Selling away
- Failure to diversify and overconcentration of accounts
- Negligence or fraud involving complex products such as non-traded REITs, private placements, leveraged ETFs, Delaware Statutory Trusts, and Qualified Opportunity Zone Funds
The firm also counsels whistleblowers under the SEC’s Whistleblower Program, helping them preserve eligibility for awards by reporting credible information about securities law violations.
Our record
August M. Iorio has handled more than 800 securities arbitration matters and has been instrumental in recovering nearly $100 million for investors nationwide, including more than $4 million for investors who were sold GWG L Bonds, and over $80 million for investors in Puerto Rico bonds and Puerto Rico closed-end funds.
Among his notable results:
- The first arbitration award won by a retail investor against Robinhood over its decision to restrict trading in certain “meme stocks” on January 28, 2021 (FINRA Case No. 21-01206).
- An award holding the former owner and control person of a California brokerage firm liable for the firm’s sale of a risky and speculative GWG L Bond (FINRA Case No. 24-00004).
These results were obtained by Mr. Iorio throughout his career, including during his time at prior law firms. Past results are not a guarantee of future outcomes; each case must be evaluated on its own merits. See Our Results.
About August M. Iorio
August M. Iorio is the Founder and Managing Attorney of Iorio Law PLLC. Admitted to practice in New York in 2011, he brings more than 15 years of experience in securities arbitration, representing individual retail investors, family offices, business entities, credit unions, and institutional investors.
He serves as an Officer and Director on the Board of Directors of the Public Investors Advocate Bar Association (PIABA), the national bar association whose members are dedicated to protecting public investors from abuses in the securities industry. He is a frequent speaker at legal and industry conferences on securities arbitration and investor recovery.
Mr. Iorio earned his J.D. from Seattle University School of Law, where he served as a law clerk for the United States Attorney’s Office for the Western District of Washington, and holds a B.S. in Finance from the Smeal College of Business at Pennsylvania State University. Read his full profile.
How we work
Three values guide every case we take: integrity, excellence, and grit. Each case gets a thorough investigation, careful legal analysis, and aggressive advocacy, whether in settlement negotiations, mediation, or at a final arbitration hearing, and clients are kept informed throughout. Read about our approach.
We work on a contingency fee basis: you do not pay a legal fee unless we recover compensation for you, and there are no hourly rates or retainers for our legal services. Case expenses and the fee percentage are explained in a written agreement before any work begins. See how we are paid.
What clients say
“People who are the victims of broker fraud have to go through a complicated arbitration process which requires them to trust their attorney and take a lot on faith. August Iorio worked with me, and my wife to navigate the process, helping us get all the information his firm needed for what turned out to be a successful outcome. He was understanding and professional every time we dealt with his firm.”
Mitchell & Irene F.
“August Iorio was the lead on our case. His 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. We highly recommend the law firm.”
EB & SB.
For attorneys
We welcome referrals and co-counsel arrangements from attorneys whose clients have suffered investment losses. See our referral program and co-counsel information.
Talk to us
If you have lost money because of broker misconduct or negligence, contact us for a free, confidential consultation about your rights and recovery options.
Call (646) 330-4624 | Email info@iorio.law | One World Trade Center, 85th Floor, New York, NY 10007 | Contact form