Investment Fraud Attorney: Protecting Investors from Misconduct

Investment Fraud Is More Common Than You Think

Every year, thousands of investors suffer life-altering losses due not to market forces, but to financial misconduct. Investment fraud takes many forms, from Ponzi schemes and unsuitable investment recommendations to unauthorized trading and misrepresentations. What these actions have in common is the breach of trust, and often the violation of state and federal securities laws.

Investors may not always recognize the warning signs or understand the nature of the misconduct until substantial losses have occurred. Whether it involves a complex product like non-traded REITs or a more straightforward portfolio allocation that was reckless or overly aggressive, the harm can be profound.

In too many cases, stockbrokers, investment advisors, or financial firms breach the trust placed in them by misrepresenting investment products, concealing critical risks, or steering clients into high-commission vehicles that are inappropriate for their financial goals. At AMW Law PLLC, we help wronged investors understand what went wrong and take meaningful legal action to recover their losses.

With more than two decades of experience in the securities industry, attorney Artur M. Wlazlo has seen investment fraud from every angle: as a professional working for a major broker-dealer legal and compliance department, defense attorney, FINRA enforcement lawyer, arbitrator, and now as dedicated counsel for harmed investors. When you’ve been misled, manipulated, or ignored by your financial advisor, you need a lawyer who knows how to expose misconduct—and how to hold firms accountable.

What Is Investment Fraud?

Investment fraud refers to a broad range of deceptive or unethical conduct by a financial advisor or brokerage firm. While some fraud is intentional, other types involve serious negligence or undisclosed conflicts of interest. What all these cases have in common is this: investors are led to believe their money is safe or well-managed when, in reality, they are being exposed to undisclosed risks or fees. Some common forms of investment fraud include:

• Unsuitable Recommendations: Advisors are required to match investments to your risk tolerance, financial objectives, and time horizon. Recommending speculative or illiquid products to retirees or conservative investors may be unlawful.

• Misrepresentations and Omissions: When an advisor fails to disclose critical facts, such as risks, fees, or liquidity restrictions, or outright misstates the nature of an investment, investors may be entitled to relief.

• Churning (Excessive Trading): Brokers who engage in frequent, unnecessary trades to generate commissions may be liable for damaging a client’s portfolio over time.

• Overconcentration: Investing too heavily in a single stock, sector, or type of investment (like energy stocks, junk bonds, or REITs) increases risk significantly and can violate FINRA’s rules and the SEC’s Regulation Best Interest.

• Complex and High-Fee Products: Private placements, non-traded REITs, structured notes, and other alternative investments are often marketed as safe or income-generating, despite being risky, opaque, and subject to high commissions.

These products are frequently pushed by firms because they generate large fees—not because they are appropriate for the investor.

Who Is Most at Risk?

Fraud and misconduct can affect anyone, but certain investors are especially vulnerable:

• Retirees and elderly investors, who may rely on their savings for income and cannot afford major losses

• Conservative investors, who were seeking steady growth or income, not volatility

• First-time or unsophisticated investors, who trusted their advisor’s expertise

• Widows, widowers, or beneficiaries, who may inherit poorly managed accounts without realizing it

Often, these investors are told a product is “safe,” “secure,” or “guaranteed.” But when losses occur, the fine print reveals a very different picture. If this sounds familiar, an experienced investment fraud attorney can help determine whether you were misled—and what you can do about it.

How We Investigate Investment Fraud

At AMW Law PLLC, we begin every case with a deep dive into the investor’s account. We review monthly statements, trade confirmations, account opening documents, correspondence with the advisor, and internal firm materials when available. We look for signs of:

• Product risks that were not adequately explained

• Unusual commissions or incentives

• Concentration in high-risk or illiquid assets

• Patterns of trading that suggest self-dealing or manipulation

• Failure to document or understand the client’s investment profile

This investigative process is essential to identifying the misconduct and building a strong legal claim. In many cases, we uncover not just broker misconduct, but failures in the firm’s supervision and compliance systems as well.

Your Legal Options as an Investor

Most cases of investment fraud are resolved through FINRA arbitration, a private legal forum designed to handle disputes between investors and broker-dealers. In this process, a panel of neutral arbitrators hears evidence and decides whether the firm and/or advisor is liable for your losses. We represent investors at every stage of arbitration:

• Drafting and filing the Statement of Claim

• Managing document discovery and evidence gathering

• Preparing clients for testimony

• Arguing before arbitration panels

• Negotiating settlements where appropriate

FINRA arbitration is legally binding and requires focused preparation. Attorney Artur M. Wlazlo’s experience as a former FINRA enforcement lawyer and current arbitrator gives our clients a unique advantage. He knows how these cases are prosecuted and decided from the inside.

Why Work with AMW Law PLLC?

What sets our firm apart is not just our legal skill, but our rare industry insight. Artur M. Wlazlo brings over 20 years of securities experience from multiple vantage points:

• Former Compliance & Legal Department at Morgan Stanley

• Litigation defense counsel for major broker-dealers at Greenberg Traurig LLP

• Senior Counsel at FINRA Enforcement in New York

• Current FINRA Arbitrator

• Now, an investor-focused advocate at AMW Law PLLC

This broad background gives us a deep understanding of how brokerage firms operate, how advisors are incentivized, how misconduct occurs, and how to build persuasive cases that succeed in arbitration.

We also offer contingency-fee representation in most investment fraud cases, meaning you do not pay legal fees unless we recover money for you.

Take the First Step Toward Recovery

If you suspect that your financial advisor or brokerage firm failed to act in your best interest, don’t assume your losses were simply “bad luck.” Many cases of investment fraud go unchallenged because victims aren’t aware of their legal rights.

At AMW Law PLLC, we provide confidential, honest assessments of your potential claim. If we believe you were misled or taken advantage of, we’ll fight to recover your losses—and to restore your financial stability.

Contact us today to speak with an experienced investment fraud attorney and take control of your financial future.