An Extensive History Of Holding Investment Advisers Accountable


If you have suffered financial losses as a result of securities fraud, the law office of Timothy J. Dennin, P.C., is here to help. Securities litigation attorney Timothy J. Dennin has been on the side of the private investor since the beginning of his career, starting when he served as a Securities and Exchange Commission lawyer in Washington, D.C.

Attorney Dennin has taken on some current and former internationally recognized investment adviser institutions — and won compensation for his private investor clients, including:

  • Claims against UBS Securities concerning inappropriate sales of UBS closed-end funds to Puerto Rico investors and failure to properly supervise.
  • Claims against Oppenheimer & Co. Inc. and Mark Hotton for Oppenheimer’s failure to supervise its broker resulting in millions of dollars in losses to Oppenheimer clients.
  • Claims against Charles Schwab & Co., Inc., for marketing a high-risk fund as a low-risk investment, and for recommending that investors maintain their investment in this fund while Schwab was liquidating its own position in the Schwab High Yield Fund.

Whether you have lost your lifesavings, life fortune or any other amount, due to adviser or broker misconduct, we can help.

Northport office or Manhattan office: 866-437-9475 Free initial consultations.

Questions that we ask as we investigate your investment adviser misconduct case include:

  • Was your investment adviser authorized to make risky investments?
  • Who had discretion to trade in your investment account?
  • Is there an arbitration clause in the financial agreement you signed?
  • Did the investment adviser engage in unsuitable trading or inappropriate investment recommendations?
  • What were the particular investment objectives and risk tolerance for your account, and was your adviser inappropriate with regard to them?

Our Goal Is To Be Part Of Your Solution, Not The Problem

After researching your case, we will tell you whether we believe that you have an actionable case. It may be that your adviser acted in an unethical manner, but did not violate the law or industry standards. Taking on such a case will only cause you more heartache and cost you more money. At the law office of Timothy J. Dennin, P.C., we take on cases in which we believe that we can help you. If we do not think that your case is actionable, we will let you know.

Free Initial Consultations Available In Northport And New York City

To get answers to your specific questions related to churning, misrepresentation, investment fraud, unsuitable investments, breach of fiduciary duty and other investment adviser misconduct, please call our law firm at 866-437-9475 or contact us online.