Registered Investment Advisers

Investor Claims Is What We Do - All Day, Every Day

Since 1999 our law firm has recovered more than $350,000,000 for victims of investment fraud and misconduct.
  • Jury Verdict Won Against Prudential Securities $262 Million
  • Recovered for 100-Year Old Widow $30 Million
  • Recovered in Retirement Losses $10 Million
  • Recovered for a Large Group of Individual Investors $6.5 Million
  • Recovered for Elderly Victim in Ponzi Scheme Case $3.8 Million
  • Recovered for Elderly Ponzi Scheme Victim $3.2 Million
  • Recovered for More Than 50 Families of Ponzi Scheme in California $3.2 Million
  • Recovered for 35 Families in Northeast Ohio $3.1 Million
  • Losses Recovered for 20 Retirees $3 Million
  • Recovered for Retired Physician Against Major Wall Street Firm Prior to Filing FINRA Arbitration $2.5 Million

Registered Investment Advisers

A significant trend in recent years has been stock brokers leaving brokerage firms and becoming what are known as registered investment advisers. Stock brokers execute trades for customers and are generally paid commissions on the securities they sell to customers. But in contrast, investment advisers are paid compensation for advice they give, which is typically paid in the form of a flat-fee or a percentage of your investment assets that they manage.

While it might make sense for you to invest with an investment adviser instead of a broker, depending on your needs and expectations, the fact is that investment advisers sometimes make mistakes or engage in misconduct just like stock brokers sometimes do. However, evaluating potential investment loss claims against an investment adviser can involve a different set of questions and factors than claims against a traditional stock broker.

For example, almost all customer cases against brokerage firms are subject to mandatory arbitration through the Financial Industry Regulatory Authority, known as FINRA. Claims against investment advisers, on the other hand, might be decided in any number of different forums depending on the contract that you signed with an investment adviser. This might include alternative dispute resolution forums like the American Arbitration Association, also known as AAA, or JAMS, or you might be able to bring your claims in court.

An important part of a case against an investment adviser might involve representations made by the adviser in a document known as the Form ADV Part II. This document, often referred to simply as the brochure, is a required document that advisers must provide to customers and which describes various things including the adviser’s background, the adviser’s method of analysis, investment strategies and risk of loss, and how the adviser is paid, and when and how the adviser reviews client accounts. If an investment adviser fails to follow the representations made in the brochure and if you suffer losses as a result, you might have claims against your investment advisor.

Finally, it’s important to note that there are different rules and regulations that govern investment advisers and that might impact your ability to recover losses caused by investment misconduct. For example, while stock brokers often try to deny that they owe any fiduciary duties to their customers — a contention that I strongly disagree with — investment advisers unquestionably owe fiduciary duties to their customers and being a fiduciary means that investment advisers owe a heightened duty and must always act in the client’s best interests. If you think you have a potential claim against an investment adviser, give our law firm a call today. Thank you.

The Meyer Wilson Way

Results-Focused Representation
  • More than $350,000,000 Recovered
  • Voted Best Lawyers in America┬« for over Ten Years Running
  • David Meyer is the Immediate Past-President of Public Investors Advocate Bar Association (PIABA)
  • Over a Thousand Investor Claim Cases Since 1999
  • Exclusive Focus on Investor Claims & Class/Mass Action Lawsuits
  • Deep Bench of Skilled Attorneys and Staff Members


Meyer Wilson has represented over 1,000 individual investors in high-stakes claims across the country, and has recovered over $350 million on their behalves. See what former clients have to say about our team.

  • “I primarily worked with Courtney Werning throughout the process and she was informative and knowledgeable. I trusted and fully recommend Courtney and her team.”

    - S.R.
  • “The communication throughout the process was on par - and they took the time to indulge me with the various questions and opinions.”

    - R.G.
  • “What I truly appreciated was getting a great result for my Mom with limited involvement/stress on her.”

    - S.W.
  • “We went to arbitration with the other respondent and I got to see firsthand the level of professionalism and expertise the Meyer Wilson firm can deliver.”

    - D.V.
  • “Chad would take the time to call and talk with me. His explanations were always clear and concise. I also appreciate all the effort put into the details and statistics required to argue this case.”

    - P.N.
  • “Meyer Wilson was able to produce the results that we felt were obvious and warranted while several other firms and even state offices simply had trouble understanding let alone moving the case forward.”

    - B.K.
  • “My overall experience was positive and I would encourage anyone who even thinks they have been a victim of stockbroker misconduct to call David.”

    - S.T.
  • “Meyer Wilson represented me in a suit brought last year against my brokerage firm, securing a very fair and equitable settlement for me.”

    - R.G., M.D.
  • “Right from the start, you had the passion and desire to win this case for us. I have never worked with an attorney or firm as compassionate as yours. I would highly recommend your firm to anyone.”

    - G.A.

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