Did you suffer losses in a Griffin Capital investment?
Galvin Legal is launching an investigation on behalf of investors who suffered losses investing in private placements offered by Griffin Capital at the recommendation of their financial advisor. If you suffered losses investing in a Griffin Capital private placement, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim against the brokerage firm that recommended the investment.
Understanding the Investment: Griffin Capital
Griffin Capital is an alternative asset management firm. Under SEC Regulation D, Griffin Capital is eligible to offer private placements to investors. In large part, Griffin Capital investments have been offered to investors through financial advisors and through registered brokerage firms.
Griffin Capital Offerings
Your Brokerage Firm May Be Liable for Unsuitable Investment Guidance
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. One of the most important securities regulations is FINRA Rule 2111. Under this rule, often referred to simply as the suitability rule, financial advisors and broker-dealers must only recommend and sell securities that are reasonably appropriate for the investment experience, needs, and objectives of each individual client. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
Filing a FINRA Arbitration Claim
If your broker or brokerage firm recommended or offered Griffin Capital investments, and you suffered significant investment losses as a result, you may be eligible to recover compensation through a FINRA arbitration claim. In most cases, investors are required to sign customer agreements that mandate arbitration as the exclusive legal remedy.
Our securities fraud lawyers have a deep understanding of the FINRA arbitration process. To initiate arbitration — no matter what state you live in — you must prepare and submit a Statement of Claim. While this is merely the first step in the claims process, it is imperative that you get this step right. Your Statement of Claim should be comprehensive: it should contain the allegations you are raising, the dates the violation occurred, the specific cause of action, a basic accounting of the evidence, and the damages being requested.
What Our Investor Losses Lawyers Can Do For You
At Galvin Legal, PLLC, we offer free, fully confidential case evaluation to investors nationwide. If you sustained serious investment losses in Griffin Capital investments or any other private placement, we are prepared to help. Our legal team will start by carefully reviewing the facts and strength of your claim.
We will vigorously investigate your case and help you understand and assess all of your available options. Our securities fraud lawyer knows how to hold negligent investment advisors and investment advisory firms liable for their misconduct and we will fight tirelessly to protect your rights.
Request a Free Consultation with a Securities Attorney
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.