Investors

If you believe your broker or advisor engaged in unauthorized trading, put you in unsuitable investments, traded excessively, or acted in an unethical or unprofessional way that caused you to lose money, I can evaluate your situation to see if there has been any wrongdoing and recommend a course of action.

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Brokers & Investment Advisors

If you are dealing with an industry-related issue, including employment termination, defense against customer complaints, partnership disputes, repayment of promissory notes, SEC or FINRA inquiries or more, I can serve as your adviser and advocate.

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Broker-Dealers & Registered Investment Advisors

If you face customer or employee disputes, regulatory issues, raiding claims, broker transitions, expungments, or any other issues, I can provide comprehensive legal services, including complete arbitration, litigation and regulatory representation.

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Janet K. DeCosta