We represent investors who want to try to recover losses that they have sustained as a result of misconduct by their brokers, investment advisors, or financial planners.

Vincent DiCarlo was an enforcement attorney for the Securities and Exchange Comission, and is an AV rated litigator with experience representing both investors and brokers in court and in arbitrations. His resume is here. He is admitted to practice in the courts of California and New York and can represent investors in FINRA (formerly NASD) arbitrations in other states as well, if the matter warrants it and local rules allow.

If you want a free consultation, you can call us nationwide toll free at 800-699-2728 or click one of the email links on this page. If you contact us, we will talk to you, review your documents if necessary, tell you whether we think you have a claim that is worth pursuing, and tell you whether we think we can help you. There is no charge for this consultation.

In some cases, we offer to represent clients for a contingent fee, which means that the client does not pay any fees to us, and is only responsible to pay the cash expenses, unless there is a recovery. In the case of FINRA (formerly NASD) arbitration, for a simple case the cash expenses to complete the case often range from one thousand to five thousand dollars, unless the client elects to engage an expert witness, which is not mandatory. Where a contingent fee is offered, the client also has the option of electing to pay an hourly fee instead.

If you have any questions, please call us at the number above or use one of the email links on this page.

DISCLAIMER: The information at this site is provided as a public service. It is not intended as legal advice and should not be relied upon. You are advised to consult legal counsel before adopting any of the ideas or suggestions in this material, which may or may not be applicable in your jurisdiction or to your specific situation.
This page last updated on April 8, 2008
Copyright © 1999-2008 Vincent DiCarlo