Many of our clients, before engaging our services, have met with brokerage firm representatives in an attempt to resolve their problems. We have seen many instances where clients, prior to engaging our services, have first corresponded with their brokerage firm’s legal department. Our impression from these clients is that they feel that those efforts were wasted as was the time expended. Often these brokerage firms conduct an “investigation” and then report back to these clients that based on their investigation they have determined that the brokerage firm did not act inappropriately. Just because the brokerage firm determines that they acted appropriately does not necessarily mean that you do not have a case. You should still consider having a professional review your investments and particular situation to determine whether you have a claim.