Stockbroker Fraud Attorney: Seeking Justice for Misled Investors

When you entrust your savings, retirement funds, or inheritance to a financial advisor or stockbroker, you have every right to expect professional, honest, and lawful conduct. Unfortunately, that trust is not always honored. Whether driven by commissions, firm pressure, or outright greed, some stockbrokers recommend investments that are entirely unsuitable, misrepresent crucial risks, or engage in misconduct that devastates a client’s financial future. If this has happened to you, AMW Law PLLC is here to help. Led by seasoned stockbroker fraud attorney Artur M. Wlazlo, our firm is dedicated to representing investors who have suffered losses due to unethical or unlawful behavior by financial professionals.

Understanding Stockbroker Fraud

Stockbroker fraud refers to a wide range of deceptive or unethical actions taken by brokers or financial advisors that result in financial harm to investors. These actions may violate securities laws, FINRA rules, or basic principles of fiduciary duty. Often, they are subtle or hidden behind layers of account statements and complex investment products.

At AMW Law PLLC, we handle claims involving all major forms of broker misconduct, including:

• Unsuitable investment recommendations – When a broker recommends high-risk or illiquid investments that don’t match the investor’s goals, risk tolerance, or financial profile.

• Misrepresentations and omissions – Failing to disclose material facts about a securities product, such as the risks, fees, or the broker’s financial incentives.

• Churning or excessive trading – Engaging in frequent trades for the sole purpose of generating commissions, rather than serving the client’s best interest.

• Overconcentration – Putting a significant portion of a portfolio into a single investment or asset class, which exposes the client to unnecessary risk.

• Unauthorized trading – Making trades in a client’s account without express permission.

• Fraudulent alternative investments – Selling private placements, non-traded REITs, or high-yield investment programs that turn out to be misrepresented or fundamentally unsound.

Whether the misconduct took place at a large brokerage firm or a smaller advisory practice, investors often don’t recognize the problem until it’s too late. That’s why it’s essential to consult an experienced investment fraud lawyer if you suspect something is wrong.

Why Investors Are Vulnerable

Many victims of stockbroker fraud are retirees, elderly individuals, or people with limited experience in financial markets. They rely on brokers for trusted advice and expect that recommendations are made in good faith. Sadly, this trust is often abused. Investors may be told that an investment is “safe,” “conservative,” or “guaranteed,” when in reality it is speculative, illiquid, or risky.

The financial harm can be life-altering. A retired couple may lose the income they rely on to meet basic needs. A professional saving for a child’s education may see those savings wiped out. In these cases, an experienced securities fraud attorney can help investors recover their losses through legal action, most often through FINRA arbitration.

A Legal Strategy Built on Unmatched Industry Experience

What sets AMW Law PLLC apart is the depth and diversity of experience that Artur M. Wlazlo brings to every case. With more than 20 years of legal experience in the securities industry, Mr. Wlazlo has seen broker misconduct from every angle:

• As Senior Counsel at FINRA Enforcement, he investigated and pursued brokers and firms that violated securities laws and regulatory rules.

• As a litigation attorney at Greenberg Traurig LLP, he defended major broker-dealers in arbitrations and regulatory matters, gaining insight into how these firms manage internal compliance, respond to investigations, and defend misconduct allegations.

• As a current FINRA arbitrator, he helps resolve disputes between investors and firms, giving him direct insight into what panels expect and how they evaluate evidence.

• As a claimant’s counsel today, he advocates for retail investors who have suffered losses due to broker misconduct.

This rare combination of experience means Mr. Wlazlo knows not only the legal theories that succeed in arbitration, but also the procedural tactics brokerage firms often use to deflect or delay responsibility. He uses this knowledge to build powerful, evidence-backed cases for his clients.

The FINRA Arbitration Process

Because most brokerage accounts include arbitration clauses, nearly all stockbroker fraud cases are handled through the FINRA arbitration process. This is a private legal forum where investors file claims against brokers and firms, which are then heard by a panel of neutral arbitrators. There is no judge or jury, and arbitration awards are final and binding.

While arbitration can be faster than traditional litigation, it is still a legal proceeding that requires careful strategy, strong evidence, and effective advocacy. At AMW Law PLLC, we manage every step of the process:

• Evaluating the claims and calculating recoverable losses

• Filing the Statement of Claim with FINRA

• Preparing clients for testimony and cross-examination

• Presenting evidence of misconduct, losses, and regulatory violations

• Engaging in settlement discussions or mediations where appropriate

We also work with experts in securities analysis, compliance, and portfolio management to strengthen the case when needed. Our goal is always to maximize the recovery and hold wrongdoers accountable.

A Focus on Long Island and New York—But Serving Investors Nationwide

Located in Long Island, AMW Law PLLC is especially proud to serve local investors in Nassau and Suffolk counties, the greater New York City area, and throughout the state. We understand the unique financial and demographic landscape of this region and tailor our services accordingly. But because FINRA arbitration is national in scope, we are equally able to represent investors across the United States who have suffered losses due to broker misconduct.

If you are a local investor who has been misled or an out-of-state client looking for a seasoned stockbroker fraud lawyer to handle your case, we are ready to help.

Why Choose AMW Law PLLC?

We understand how overwhelming and emotional it can be to lose money due to fraud or misconduct. We take the time to listen, explain your options, and build a case that reflects the full scope of what you’ve experienced. Our firm is not a volume practice—we treat each client with personal attention and commitment.

What makes AMW Law PLLC your best choice for a stockbroker fraud attorney:

• Over two decades of exclusive experience in securities law

• Former FINRA enforcement attorney and arbitrator

• Former defense counsel for major broker-dealer clients

• In-depth understanding of FINRA rules, arbitration panels, and firm defenses

• A tenacious, results-oriented approach focused on recovery

Take Action—Time Limits Apply

It’s important to act quickly if you suspect stockbroker misconduct. Statutes of limitation and arbitration eligibility rules govern securities claims. Delay can mean the loss of your right to recover.

If you or someone you care about has suffered significant financial losses due to the actions of a broker or advisor, contact AMW Law PLLC today. We’ll provide a clear, honest assessment of your situation and discuss how we can help you pursue justice and recovery. Your financial future deserves protection, and we are here to fight for it.