Seminar: Recovering investment loss from financial abuse |

Seminar: Recovering investment loss from financial abuse

A lunchtime legal seminar on financial abuse and loss is scheduled from noon to 1 p.m. on Oct. 19 online via Zoom. The seminar, which is offered through the Nevada County Superior Court’s Law Library, will be presented by attorney Fran Cole.

Recovering investment losses from an investment advisor, broker dealer or other investment professional is not a proceeding that is handled in court. The account agreements that investors sign upon engagement with investment professionals almost always contain mandatory arbitration provisions that require all account disputes to be resolved by filing a claim with the Financial Industry Regulatory Authority (FINRA). Understanding the complex FINRA system is critical to any recovery of investment losses.

Did your investment professional make unsuitable investment recommendations, churn your account, make improper asset class allocations, commit elder financial abuse or otherwise breach fiduciary duties owed to you? This seminar will describe how to determine if you have a valid claim and will explain the steps involved in pursuing it, including drafting the claim, selecting the arbitration panel, producing documents and navigating through mediation and arbitration hearings.

Cole, a partner in Diamond, Baker, Mitchell, Cole, LLP, is a business transactions attorney with over 40 years of experience negotiating, preparing and managing contracts and financing structures for individuals, corporations, joint ventures, partnerships and other types of organizations. She is a former senior vice-president of Charles Schwab & Co., Inc. in San Francisco and advises clients in corporate governance, capital and business formations, leases, mergers and business acquisitions, business litigation, due diligence, commercial transactions, securities law compliance, investment management, and other areas of regulatory law. She is the current president of the League of Women Voters of Western Nevada County.

To register, email or call 530-362-5329. Send a $15 check to Nevada County Law Library, 201 Church Street, Suite 9, Nevada City, CA 95959. The Zoom link and any hand-outs will be sent out a few days prior to Oct. 19.


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