Call Now For a Free Consultation:
(614) 532-4576


Consult with Our Legal Team
You will be contacted by a member of the Investor Claims team within 24 hours.

1 of 13
For The Advocacy You Deserve Contact Us Today!
We’ll respond and let you know the best way to proceed with your case.

Glossary of Terms

Arbitration A procedure in which a dispute is submitted to one or more neutral arbitrators who make a binding decision on the dispute. 

Churning Buying and selling of securities in an investor's account in excessive sizes or frequencies solely for the purpose of generating commissions.

Eligibility Period A period of time in which an investor can file a claim in the FINRA arbitration forum. The Eligibility period is six years from the occurrence or event giving rise to the claim. When the Eligibility period starts running varies according to the particular case.

Failure to Supervise This occurs when a brokerage firm or investment advisory firm fails to supervise its firm and agents to ensure compliance with and prevent violations of the rules of the securities industry.

Fiduciary Duty It is the highest standard of care and includes the duties of care, loyalty, and at all times to act in the client’s best interests.  

Misrepresentation A breach of the duty of good faith not to misrepresent any "material" fact - a fact that addresses the nature or quality of the investment or the degree of risk involved - to the investor in the sale or recommendation of an investment.

Similar to a misrepresentation, an omission occurs when a broker or adviser has failed altogether to disclose a fact material to the investor's decision-making process.

This is the failure by a broker or adviser to diversify an investor's portfolio to provide protection against a decline of one particular investment, asset type, or industry.

State Division of Securities
A state organization that oversees the securities industry within that state.

Statutes of Limitations Periods of time defined by law in which certain claims can be filed. The length of the statute of limitations period varies according to the particular claim and jurisdiction in which it is brought. 

Unauthorized Trading
A broker who buys or sells securities in an investor's account without the prior consent of the investor.

Regulation Best Interest
A standard of care to which broker’s investment recommendations are held. If a broker recommends an investment not in the client’s best interest, considering her financial situation, investment objectives, age, sophistication, and risk tolerance, the broker may be held liable for any resulting losses from that inappropriate recommendation.

Meyer Wilson
Meyer Wilson
Quick Links
The information contained in this Website is provided for informational purposes only, and should not be construed as legal advice on any subject matter. No recipients of content from this site, clients or otherwise, should act or refrain from acting on the basis of any content included in the site without seeking the appropriate legal or other professional advice on the particular facts and circumstances at issue from an attorney licensed in the recipient's state. Read More
The information contained in this Website is provided for informational purposes only, and should not be construed as legal advice on any subject matter. Read More
crosschevron-down linkedin facebook pinterest youtube rss twitter instagram facebook-blank rss-blank linkedin-blank pinterest youtube twitter instagram