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The claim seeks damages between $50,000 and $100,000.
Before recommending an investment, a broker-dealer has a fiduciary duty to adequately disclose the risks involved in the investment and to perform the necessary due diligence to determine whether the investment is suitable for the investor.
It is alleged The Strategic Financial Alliance failed to perform the necessary due diligence on these investments prior to recommending them to these particular investors.
"It is unfortunate, but we believe that many more investors have suffered devastating losses due to the broker-dealer's failure to supervise and don't realize they have recovery options," said D. Daxton White, managing partner of The White Law Group.
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"Brokerage firms are required to supervise their advisors to ensure that they are complying with FINRA rules. If it can be determined that the financial advisor violated FINRA rules and the employers failed to adequately supervise him, these firms can be held responsible for any resulting losses in a FINRA arbitration claim."
FINRA Dispute Resolution is an arbitration venue for investors with claims against their brokerage firm or financial professional. It provides investors with an opportunity to attempt to recoup their investment losses without filing such claims in court.
For more information The White Law Group and the claim filed against The Strategic Financial Alliance, please contact the firm at 1-888-637-5510 or visit https://www.whitesecuritieslaw.com.
The White Law Group
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