by dcadmin | Jan 9, 2024 | FAQs
Have I been defrauded? Just because you’ve lost money in the markets does not mean that you’ve been defrauded. Markets go up, but they go down, too. The question is whether or not the investment professional who advised you placed you into investments that...
by dcadmin | Jan 9, 2024 | FAQs
Your firm says you did something wrong You’ve worked hard to build your reputation in the industry, and it doesn’t take much to tarnish everything you’ve built. Sometimes a customer will make a complaint and the firm will react defensively, blaming...
by dcadmin | Jan 9, 2024 | FAQs
Customer claim or regulatory issue? Whether a Financial Adviser has been accused of impropriety by a customer or a regulator has begun asking questions, you will want to retain experienced counsel to address the relevant issues. We have handled both sides of customer...
by dcadmin | Jan 9, 2024 | FAQs
What do I do now? Talk to a lawyer with experience dealing with whistleblowers. Most organizations have policies against retaliating against employees who report potential issues in good faith. Some types of reports may be covered by federal or state laws. A lawyer...
by dcadmin | Jan 9, 2024 | FAQs
First steps Before you report anything, you need to assess whether what you have observed is actually unlawful. Sometimes, someone may have done something that appears to be illegal or unethical but, upon investigation, it is not in fact a legal violation. You should...
