Strategic Representation in High-Stakes Investment Litigation

At Kim & Serritella LLP, we represent investors in high-stakes and complex investment litigation involving millions of dollars in losses. Our attorneys have experience pursuing claims against large financial institutions and others in disputes involving misconduct by investment advisers and brokers.

We bring a strategic, results-oriented approach to every investment litigation matter, helping clients recover losses and protect their financial interests.

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Our Investment Litigation Practice Includes:

• Breach of fiduciary duties

• Investment adviser and/or broker malpractice

• Bad and/or self-interested investment advice

• Recommending investments that are not suitable

• Violations of Regulation Best Interest (Reg BI)

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We have represented investors in a wide range of investment litigation, including disputes related to investment loss recovery, insurance recovery, and complex financial misconduct. Our team combines focused legal knowledge with practical insight to guide clients through complex disputes efficiently and effectively.

Frequently Asked Questions

Many of us do not have the time, expertise or knowledge to manage our savings, so we hire investment professionals to do this for us.  These investment professionals include large financial institutions or banks but can also include small advisory or brokerage firms and individuals.  With such a relationship comes a certain level of trust and an expectation that the financial professionals we entrust with our money are looking out of our best interests and giving us sound investment advice.  All too often, financial professionals fail to adhere to these basic obligations and, unfortunately, many times they give advice or take actions that benefit themselves instead of us, in violation of their duties.  When that happens, litigation might be the only option to seek redress for the losses our financial adviser caused.

1. What is investment litigation?

Investment litigation is the legal process by which investors pursue claims against financial professionals who give bad advice or engage in misconduct that results in investment losses.  Common claims involve breach of fiduciary duty, unsuitable investment recommendations, violations of Regulation Best Interest (Reg BI), violations of state consumer protection laws.  

2. When should I hire an investment litigation attorney?

You should consider hiring an attorney if you have suffered substantial financial losses and suspect that your adviser or broker provided misleading advice, failed to act in your best interests, or recommended unsuitable investments. Speaking with Kim & Serritella LLP can help you determine whether legal action is appropriate in your situation.

3. What types of misconduct can lead to investment loss recovery?

Examples include:

4. Can I recover my losses from a broker or investment adviser?

In many cases, yes. Depending on the circumstances, recovery may be possible through litigation, arbitration, or settlement. At Kim & Serritella LLP, our attorneys carefully review each case to determine the most effective strategy for pursuing financial recovery.

5. How do I know if my investment adviser or broker acted improperly?

Common red flags include:

If you notice these red flags, Kim & Serritella LLP can evaluate your circumstances and advise whether misconduct may have occurred.

6. What is Regulation Best Interest (Reg BI), and how does it affect investors?

Reg BI requires brokers to place the interests of their retail investor clients ahead of their own when making investment recommendations. If a broker violates this duty and the client suffers financial harm, the investor may have grounds for recovery.  Typically, a “retail investor” is a natural person who is investing on their own behalf, regardless of their net worth.

7. How much does it cost to pursue an investment litigation case?

The cost depends on the complexity of the dispute and the legal strategy required. At Kim & Serritella LLP, we are transparent about fee arrangements and discuss them with clients at the outset so there are no surprises.

8. How long does investment litigation take?

The duration varies. Some disputes may be resolved through settlement within months, while others—particularly those that proceed to trial or an arbitration hearing—can take longer.

9. What makes Kim & Serritella LLP different from other investment litigation law firms?

Kim & Serritella LLP combines focused legal knowledge with practical strategies aimed at achieving meaningful results. Our attorneys have represented investors in disputes involving millions of dollars in losses, including against large financial institutions and have successfully guided clients through highly complex cases, and we have obtained significant awards or settlements for them.

10. How do I get started with an investment litigation claim?

The first step is to contact Kim & Serritella LLP to schedule a consultation. Our attorneys will review the details of your situation, evaluate potential claims, and explain the legal options available for pursuing recovery.