Securities & SEC Matters

We all know that there are no guarantees when you invest.  Financial advisors and brokerage firms do their best to offer advice that will grow your investment and avoid risk per your preferences and instructions, but even the smartest brokers lose sometimes.  This is why we’re all taught to consider the performance over time as opposed to one short period: A portfolio can perform badly for months, but over the course of a decade demonstrate steady growth.

If you begin to suspect something worse than the vagaries of the market are at play, however, you might feel your options are limited.  Arbitration and litigation can be expensive – shrinking your wealth even further after a bad investment experience.  Investing is designed to grow wealth, after all; why throw good money after bad in a lengthy and possibly fruitless litigation when you can settle differences in a civil and cooperative manner? Fortunately, there is another option: Mediation.

In mediation, we seek to work with both parties in a voluntary and cooperative manner to find solutions that both can accept.  A mediator who is experienced with securities and investments can help guide both parties to a satisfactory compromise that saves time, money, and stress levels.

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