How the Firm is Different
Just Finding Out If Your Adviser is Honest Before Your Financial Future is Ruined
If you have the misfortune to be working with a dishonest adviser, isn’t it critically important to know that now, even if you don’t want to sue anyone, so that you can find someone else that is truly committed to helping you reach your goals, before it is too late and your financial future is ruined?
Law firms that represent investors seem to mostly focus their attention on bringing arbitration actions against financial advisers and their firms in order to recover damages.
Although the Firm is more than happy to help you bring an arbitration proceeding against a brokerage firm or financial adviser to recover damages for losses you have suffered, Mr. Norton, the Firm’s owner, feels that the Firm has done its clients a great service even when it does no more than let a customer know that his or her account is being mismanaged, so that the customer can make other arrangements – so that his or her retirement plans are not destroyed.
The Firm is happy to look at smaller cases, where there may not be enough money involved to justify bringing an arbitration proceeding, but where the achievement of investment gains is still vitally important.
Early Settlement Without the Expense of a Trial
Mr. Norton, the CEO, is a former attorney with the Securities and Exchange Commission, and a former Senior Vice President and General Counsel of an investment complex, and finds that these experiences and relationships can sometimes be helpful in opening the door to early fruitful negotiations.
Obtaining access to senior officers of a company early in the dispute resolution process can sometimes result in very satisfactory settlements being worked out even before an arbitration case or a lawsuit has been filed. When successful, this can result in very substantial savings to the customer the “litigation approach”.
Most of the law firms in this field appear to begin the process of recovering money for investors by filing an arbitration claim or a lawsuit as their first step when wrongful conduct is discovered. This Firm, instead, puts its initial efforts into trying to settle the matter, where appropriate. This can, and sometimes does, result in significant monetary awards to investors.
Having Peace of Mind
If, after reviewing your investments, it appears that your financial adviser is managing your money properly, isn’t that extremely helpful to know? Don’t you want to know that you are with someone that is committed to your future?
(And, if you are unlucky enough to be dealing with a person who is mismanaging your account, and you are able to get compensation for the damage you have suffered, isn't that just icing on the cake, although, of course, very nice?)
Less Costly Fee Arrangement
The Firm performs its work for an hourly rate. As is discussed elsewhere, this approach can sometimes be far less costly than the contingency fees that most lawyers that do this kind of work appear to charge.
Contingency Fees Compared with Hourly Fees
Also, while the Firm doesn’t know what hourly rate is charged by firms that do this work on an hourly fee basis, it does know that its hourly fee is significantly lower than that typically charged by securities lawyers generally; which leads it to suspect that its hourly rate is in all likelihood lower, and quite possibly much lower, than the hourly fee charged by others lawyers who specialize in representing investors.
To get more information in a no-sales-pressure call, or to schedule an appointment before you go on to other things and forget all about this, call Mr. Norton today.
