Treat Your Broker/Financial Adviser Like a Boyfriend or Girlfriend: Sometimes, You Just Have to Breakup.

By Robert Noens, Spring 2017 Intern

Ladies and Gentleman, this is it. It’s not you, it’s me. This will be the last entry in my five-part series: Sometimes, You Just Have to Breakup.

Don’t worry though, you can still be friends with your broker or financial adviser… or not. Sometimes, despite all of you hard work and doing everything right, you need to end things with your financial adviser or broker. Additionally, when this happens, and you think that you have a claim or that your account was not handled correctly, the first thing you should do is talk to an attorney. FINRA proceedings and securities law can get extremely complicated and fast paced.

Now, you may be asking, “where do I find an attorney that practices in this area of the law?” And that is a great question. I have two places you should look: The first is the PIABA website under the find an attorney tab. PIABA stands for the Public Investors Arbitration Bar Association, and the PIABA attorneys largely specialize in helping people with securities claims. Second, for those of you who are having trouble finding an attorney that will take your case or cannot afford an attorney, try a clinic at a law school that works with securities issues. These clinics don’t charge attorneys’ fees, like our clinic here at Georgia State, and they are located around the country. While there are some qualifications one must meet before a clinic can help them, for some people this will be the best and only way to get legal services done at little or no cost. If you have any questions about our clinic here at Georgia State University College of Law, please see our website for more details. You can find the website located here.