Regulated Broker Recovery
Even SEC-regulated brokers can fail their clients — through mis-selling unsuitable products, churning portfolios for commission, executing orders poorly, or trading without authority. Where this happens you have strong rights through the FINRA and SIPC.
Up to $430k
FINRA award limit per investment claim
Up to $85k
SIPC protection if the firm has failed
4.8 ★
Trustpilot rating
Secure
Encrypted case vault
Overview
Even SEC-regulated brokers can fail their clients — through mis-selling unsuitable products, churning portfolios for commission, executing orders poorly, or trading without authority. Where this happens you have strong rights through the FINRA and SIPC.
Warning Signs to Watch For
- • Investments recommended that did not match your risk profile
- • Excessive trading on your account that generated commissions but eroded value
- • Trades you did not authorise
- • Failure to execute your instructions or to follow stop-losses
- • Concentrated positions in single high-risk assets without adequate disclosure
- • Failure to provide promised reports or statements
Common Regulated-Broker Failings
- Suitability failures — recommending products beyond your risk capacity or knowledge
- Churning — excessive trading to generate commissions
- Unauthorised trading — transactions you never approved
- Best-execution failures — orders filled on poor terms
- Concentration risk — over-exposure to single assets without disclosure
- Reporting failures — missing or misleading statements
Compensation Routes
The FINRA can award up to $430,000 per investment complaint. Where the firm has failed, the SIPC pays up to $85,000. For larger losses, civil action against the firm and individual advisers remains available.
Our Approach
Review
We obtain account history, suitability assessments, and KYC documentation.
Assess
We identify breaches of the SEC Conduct of Business Sourcebook and your client agreement.
Claim
We file the formal complaint, escalate to the FINRA, and prepare SIPC claims if the firm has failed.
Recover
We secure compensation up to FINRA/SIPC limits or pursue civil action above them.