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424-835-5733 | 310-525-3516

You may have lost money in your investment portfolio,
due to mismanagement and not even know it.

Spotlight: prudent investors with broker-related concerns

Maybe you're beginning to view the periodic arrival of investment account-related mailings with angst or even outright trepidation.

And you're perplexed. Many of your friends and acquaintances employ the services of brokers and investment advisers, and they seem to be doing OK. They relate that they engage in regular communications with their financial professionals, sufficiently understand where their money is going, and why, and are comfortable with the level of risk they have assumed, which they view as being reasonable and appropriate.

You wish you could say the same thing and not regard your accounts and the professional services you are paying for with dismay and fear.

If the discomfort you are feeling is ongoing and material, you might reasonably want to pose yourself some internal questions, including these:

  • Are you having problems getting hold of your adviser in a timely manner?
  • Do your account statements contain unclear items and ambiguities that seem unrelated to what you and your adviser have discussed and agreed to?
  • Has your portfolio been consistently underperforming relative to other investors similarly situated in terms of age, income and other relevant factors?
  • Are you seeing clearly inappropriate investments being made on your behalf by your broker?

Trust your instincts. Not every adverse sign is an indication of broker misconduct or fraud, obviously, but factors that cumulatively weigh in favor of some type of investment impropriety certainly merit investigation.

An online overview of investment fraud advises account holders to "consult with a professional who knows what types of suspicious activity to look for."

That source adds with further emphasis that such consultation reasonably includes "the advice of an attorney with experience handling investment and securities fraud matters."

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Beverly Hills, CA 90210       
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