Individual investors sometimes find themselves at the mercy of their financial advisors and brokers, those to whom they have given their trust and their hard-earned savings to invest. Too often, these financial advisors and brokers work to enrich themselves rather than their clients – sometimes through outright fraud and other times through sheer negligence. In either case, investors have remedies. We have pursued these aggressively for our clients. In one case we won and collected the largest punitive damages award for an individual investor against a major securities firm, Wachovia Securities, in the history of the NASD – punitive damages of over $12,000,000 on a loss of about $4,000,000.
