Financial Advisor/Investment Advisor Defense

Financial Advisor/Investment Advisor Defense

“Hindsight is 20/20,” as the saying goes. When investments go sour, many investors turn to their brokers or financial professionals and ask why they were sold or advised to buy products that did not produce the expected return. As defense lawyers, we represent financial institutions and advisors throughout Texas who have been sued on claims arising from the sale of securities and other financial products.

Our securities litigation and arbitration lawyers are experienced and knowledgeable in state and federal securities laws and routinely handle arbitrations and litigation in Texas and federal courts, as well as before securities self-regulatory organizations and arbitration forums, such as the Financial Industry Regulatory Authority (FINRA – formerly the National Association of Securities Dealers (NASD)), the American Arbitration Association, and other arbitration tribunals. We have experience in arbitrating securities-related disputes for:  

  • Broker-dealers 
  • Disputes between broker-dealers and registered representatives 
  • Financial advisors 
  • Insurance agents and insurance agencies 
  • Investment advisors and registered representatives 


We understand the impact that investor lawsuits can have on financial institutions’ reputations, regulatory status and bottom lines. That is why we provide personalized, results-driven representation focused on each client’s individual goals.

Our attorneys provide investment professionals, broker-dealers, and financial institutions, including their employees, independent contractors, and compliance professionals, with effective defense representation in arbitrations and litigation over allegations such as the following:  

  • Suitability of investment claims, such as excessive risk for category of investor, improper use of margin 
  • Breach of fiduciary duty claims: Such as mishandling of investors’ funds 
  • Conflict of interest claims Such as failure to disclose interests, self-dealing, or selling away 
  • Churning and unauthorized trading: Excessive and/or unapproved trades 
  • Sale of tax shelters: Including 412(i), 419 and Section 79 
  • Financial abuse of the elderly or non-compos mentis: Which is often sought to escape limitations on punitive damages 
  • Failure to disclose all the material facts and risks of an investment: Misrepresentation by omission or commission 
  • Failure to conduct due diligence: Such as failing to confirm or analyze the appropriateness of a particular investment 
  • Common law fraud and federal, statutory fraud: Such as intentional or knowing misrepresentations regarding an investment 
  • State security law (“blue sky” law) fraud: Allegations related to the offering of a security 
  • Failure of brokerages to adequately supervise their brokers: And other compliance-related allegations