Protecting Your Finances -- And Your Future

One's investments are one's future. During their careers, individuals work hard to make sound financial choices and investment decisions so that, eventually, they can enjoy a comfortable retirement. Yet plans do not always go as they should. Investments lose value — at times because of natural market forces, at times because of deliberate wrongdoing undertaken by the financial professionals one works with. If you have been defrauded or ill-treated, or if your holdings have been mishandled by the individual in charge of them, you can pursue litigation claims to recover your investment's value.

For more than 15 years, Regard Law Group has helped individuals in Lexington and throughout Kentucky in their securities litigation matters. As a CPA-qualified attorney, Andre Regard has a thorough understanding of how to uncover financial malfeasance and pursues strong claims on his clients' behalf.

Experienced, Aggressive Representation

Our firm assists in a full spectrum of securities considerations, including:

  • Breach of fiduciary duty — Financial brokers are entrusted with their clients' assets and have an obligation to act in their best interests. When they do not meet this standard, they are in violation of the law.
  • Churning — Brokers often collect a commission for each trade they conduct. This has led to the practice of churning, wherein brokers trade excessively — and without regard to the client's finances — simply to boost their fees.
  • Failure to diversify — When the majority of one's assets are placed into a single stock or industry, one faces extreme financial liability. Brokers who do not adequately diversify their clients' holdings are subject to liability claims.
  • Malpractice — This occurs when a financial professional furnishes clients with advice that is incorrect, deceptive or misleading and results in investment losses.
  • Trading without permission — Brokers are required by law to make their clients aware of any trades undertaken with their assets. Unfortunately, this requirement is often breached.

Keep Control Of Your Portfolio

If you would like to speak with a lawyer, reach out to our office. You can call Regard Law Group at 859-559-4573 or schedule a confidential appointment online. Initial consultations are free.