Choosing an investment that works both sensibly and prudently for a specific person or entity is at the heart of the investment process.  In an ever-changing market, investment suitability is in a constant state of flux.  A broker must have a reasonable basis for believing that an investment meets a client’s needs and goals while keeping in mind the investor’s overall financial situation and tolerance for risk.

Recently, the issue of investment suitability has played an important role in cases against brokers and brokerage firms.  Establishing and proving such claims requires not only knowing the rules and regulations of investing, but also having a deep understanding of markets and their impact on investment portfolios.  Our professionals have extensive hands-on experience both in running investor funds and in researching and reporting on financial markets and economic trends.