Securities Lawyer for Investors: Comprehensive Legal Help for Investors Facing Financial Misconduct

Investors place a great deal of trust in their financial advisors, brokerage firms, and investment institutions. But when that trust is broken through misleading advice, undisclosed risks, or fraudulent investment products, the consequences can be devastating. At AMW Law PLLC, we help investors identify whether their losses were the result of misconduct and take legal action to recover what was lost. If you’ve suffered unexpected investment losses, working with a seasoned securities lawyer can be your first step toward resolution and accountability.

Led by Artur M. Wlazlo, a former FINRA enforcement attorney, Wall Street compliance professional, and FINRA arbitrator, our firm combines unmatched experience with a client-first approach. We represent individual investors in FINRA arbitration and related securities matters across New York, Long Island, and nationwide.

When to Consult a Securities Lawyer

Not every investment loss is actionable, but many are. In some cases, financial professionals fail to follow basic industry rules or ignore client profiles in pursuit of commissions or sales targets. In other cases, investment products are marketed in misleading ways or with key facts omitted. You should consult a securities lawyer if you:

• Lost significant money in an investment you didn’t fully understand

• Were encouraged to take risks that didn’t align with your investment goals or age

• Were sold products or securities labeled as “safe” or “income-generating” that later collapsed

• Were heavily invested in a single product or sector (overconcentration)

• Were not told about fees, liquidity restrictions, or conflicts of interest

• Discovered trading activity in your account that you didn’t authorize

At AMW Law PLLC, we investigate the root causes of your losses. We determine whether the broker or firm violated securities laws or FINRA rules, and we build a legal case to pursue recovery.

Common Cases We Handle

We focus exclusively on securities-related matters. This depth allows us to handle a wide variety of investor claims, including:

• Unsuitable Investment Recommendations

  When advisors push products that do not match your risk profile, financial situation, or investment goals.

  
  

• High-Risk and Illiquid Products

  Such as junk bonds, non-traded REITs, structured notes, private placements, or leveraged ETFs—often sold to conservative investors without proper explanation.

  
  

• Misrepresentation or Omission of Key Information

  If you were not told the full story about a product’s risks, fees, or performance track record.

  
  

• Excessive Trading (Churning)

  When brokers make frequent trades to earn commissions, not because it benefits your account.

  
  

• Overconcentration (Failure to Diversify)

  Concentrating your assets in a single industry or product can lead to significant losses, especially during a market downturn.

Our clients include retirees, working professionals, small business owners, experienced and first-time investors, many of whom trusted national firms or regional brokers operating in Long Island and throughout New York.

Why AMW Law PLLC?

What separates AMW Law PLLC from other firms is the depth of our securities-specific experience. Artur M. Wlazlo brings over two decades of legal and industry knowledge to every matter, including:

• Morgan Stanley (Compliance & Legal Dept.) – where he investigated regulatory issues and advised internal stakeholders

• Greenberg Traurig LLP – where he defended major broker-dealers and managed complex arbitration and litigation

• FINRA Enforcement (Senior Counsel) – where he investigated violations and litigated cases against brokers and firms

• FINRA Arbitrator – where he continues to decide securities cases involving investor claims

This well-rounded experience gives our clients a distinct advantage. We understand how firms operate internally, how misconduct happens, and how arbitrators and regulators assess investor claims. We use that insight to build clear, evidence-based, and persuasive cases.

Our Approach: Clear, Personal, and Focused on Results

We start by listening. We’ll review your account documents, investment history, and personal financial goals. If we believe your losses were the result of misconduct, we will clearly explain your rights, options, and the legal process ahead. Our services include:

• Filing a Statement of Claim with FINRA

• Managing all aspects of the arbitration process

• Engaging in settlement discussions when appropriate

• Preparing for and attending the arbitration hearing

• Working with financial experts and investigators when needed

You’ll always work directly with Mr. Wlazlo. We don’t hand off matters to junior associates or case managers. And for most investor clients, we offer contingency-based representation, meaning you don’t pay legal fees unless we recover money on your behalf.

Based in Long Island. Serving Clients Nationwide.

AMW Law PLLC is based in Long Island, New York, serving clients in Nassau County, Suffolk County, New York City, Westchester, and beyond. We are proud to serve our local communities and understand the financial products and brokerage practices common in this region.

Because most securities cases are resolved through FINRA arbitration, we also represent clients nationwide. Whether your broker worked for a firm in Manhattan, Florida, Virginia, Illinois, or anywhere else in the U.S., we are equipped to take your case (certain restrictions may apply).

Time Is Limited—Don’t Delay

FINRA arbitration claims must typically be brought within six years of the events giving rise to the dispute. In some cases, however, shorter statutes of limitation may apply to your claims. Waiting too long can prevent you from recovering your investment losses.

If you’ve suffered investment losses and aren’t sure why, or if you already suspect misconduct, reach out to us for a consultation. We’ll review your situation and help you determine the best next step.

Contact a Securities Lawyer You Can Trust

Your financial future is too important to leave to chance. Contact AMW Law PLLC today to speak with a seasoned securities lawyer who knows the industry inside and out and who will fight to protect your rights and restore your financial security.