Pump and dump affinity fraud
FINRAObtained award against chief compliance officers and a Russian financial advisor who lured other Russian investors, via an affinity group, into fraudulent stock issues.
Farmington, Connecticut · Boca Raton, Florida · National Practice
35 years fighting
for investors.
Howard M. Rosenfield has helped thousands of investors throughout the United States and abroad recover losses caused by stockbroker fraud and advisor misconduct.
No recovery, no fee. The consultation is free and confidential.
The online questionnaire takes about ten minutes. Howard reviews every one personally.
35+
Years in practice
1,000+
Investors represented
7
Countries of clients
$0
Fee unless you recover
Practice areas
What We Handle
35 years of experience across every form of stockbroker fraud and investment misconduct — in state courts, federal courts, FINRA arbitration, and JAMS mediation.
Stockbroker fraud
Misrepresentation, unauthorized trading, churning, unsuitable recommendations. The full spectrum of broker misconduct.
FINRA arbitration
35 years of FINRA and NASD arbitration. Howard Rosenfield has represented investors in arbitrations across the country and internationally.
Elder financial abuse
Senior investors targeted with unsuitable products, excessive risk, and outright fraud. Enhanced protections under FINRA rules.
Variable annuities
High-fee, unsuitable annuities sold for commissions. Surrender charges, switching fraud, and IRA annuity abuse.
Churning
Excessive trading to generate commissions at your expense. Proved through turnover ratio and cost-equity ratio analysis.
Private placements
Unregistered, illiquid, high-risk securities sold without proper disclosure. A frequent source of significant investor losses.
Leveraged ETFs
Complex inverse and leveraged ETFs unsuitable for most retail investors. Frequently misunderstood and misrepresented by brokers.
Oil & gas overconcentration
Portfolios concentrated in high-risk energy investments without proper disclosure of the risks involved.
Breach of fiduciary duty
When your broker or adviser puts their own interests ahead of yours — self-dealing, conflicts of interest, hidden fees.
Negligent supervision
Brokerage firms must supervise their brokers. When they fail and a broker causes harm, the firm bears liability.
Pump and dump schemes
Artificially inflated stocks sold to unsuspecting investors. Howard has obtained awards against firms enabling these schemes.
International investor claims
Representing investors from the Netherlands, UK, France, Ethiopia, Isle of Man, Philippines, Brazil, and more in US arbitrations.
Free case evaluation
Think you have a claim? Start here.
Complete our confidential investor questionnaire. It takes about ten minutes and gives Howard everything he needs to evaluate your potential claim, at no cost and with no obligation.
- 1 Complete the secure online questionnaire
- 2 Howard personally reviews your submission
- 3 You hear back within 24 hours with an honest assessment
- 4 No fee unless money is recovered for you
Secure · Confidential · Free
Investor questionnaire
About ten minutes. Howard personally reviews every submission. Your information is strictly confidential.
Start the questionnaireOr call (860) 677-4334
Connecticut Bar
Admitted 1980
Florida Bar
Board Certified · Admitted 1982
2nd Circuit Court of Appeals
Admitted 1984
9th Circuit Court of Appeals
Admitted 1985
U.S. Supreme Court
Admitted
PIABA
Public Investors Advocate Bar Association
Connecticut Bar Association
Seminar chairman
Senior Life Magazine
Monthly editorial contributor
Financial News Network
Television appearances (now CNBC)
About
Howard M. Rosenfield
For more than 35 years, Howard M. Rosenfield has represented thousands of investors in securities arbitrations, mediations, and state and federal court proceedings — recovering millions of dollars lost through stockbroker fraud and advisor misconduct.
His practice is national and international in scope. Howard has represented investors from across the United States and from countries including the Netherlands, United Kingdom, France, Ethiopia, Isle of Man, the Philippines, and Brazil — in FINRA arbitration, JAMS mediation, and other alternative dispute resolution venues.
Howard has appeared on television and radio, including the Financial News Network — now CNBC — and has written a monthly editorial for Senior Life magazine. He has chaired and presented at seminars for the Conference for International Law and the Connecticut Bar Association, including programs on Madoff victim recoveries and NASD arbitration remedies.
He is a member of the Public Investors Advocate Bar Association and is admitted to practice before the Connecticut Supreme Court, Florida Supreme Court, the U.S. District Court for the Eastern District of Pennsylvania, the Second Circuit, the Ninth Circuit, and the United States Supreme Court.
As seen in
Member of · Speaking at
Representative cases
35 years of results
Past results do not guarantee future outcomes. Every case is evaluated on its own facts.
Reckless options trading
FINRARecovery for losses suffered through reckless options trading by a financial advisor at a nationally known brokerage firm.
Elder fraud, retirement portfolio
FINRAObtained recovery of a retirement portfolio for a sophisticated former CEO of a modeling agency from a large brokerage firm.
Commodity trading losses
NFARecovered commodity trading portfolio losses through National Futures Association mediation for an investor in alternative investments.
Class action for union members
Federal courtParticipated in class action recovery for union members against a trade association for undisclosed fees charged by the advisor.
Variable annuity misrepresentation
FINRARecovery against an annuity salesman and firm for misrepresentation in the investor profile in connection with variable annuity sales and exchanges.
Selling away: Mad Martha's Ice Cream
FINRARecovery for investors defrauded through selling away of promissory notes outside the broker's approved product list.
Discount brokerage markup fraud
FINRARecovery for dozens of investors from a "discount" brokerage that claimed no commissions while charging hidden markups on every transaction.
Mutual fund B-share switching
FINRARepresented a widow whose advisor recommended frequent switches of Class B shares. High expenses and back-end fees made the switching completely unsuitable.
ERISA deferred compensation
Federal courtObtained vested pension benefits for a financial advisor when the broker-dealer claimed the benefits were forfeited when the advisor changed firms.
Ponzi scheme recovery
FINRAObtained recovery for investors defrauded through a Ponzi scheme sold by a brokerage firm acting as the distribution channel.
Overconcentration in preferred shares
FINRARecovery for a real estate investor whose advisor concentrated the portfolio in unsuitable preferred shares that offered neither appreciation nor sufficient yield.
For professionals
Attorney & Professional Referrals
Howard M. Rosenfield has worked alongside attorneys, CPAs, and financial professionals for over 35 years. If you have a client who has suffered investment losses due to broker misconduct, we welcome your referral.
We take pride in our work with other lawyers to achieve the common goal of recovering our clients' losses. By referring your client's securities matter to our office, you are doing a great service to their financial well-being.
Howard's legal counsel is available not only to his clients but to other attorneys as well. All referrals are handled with the utmost discretion and professionalism.
Who refers to us
- Estate attorneys
- Business litigation attorneys
- CPAs and accountants
- Financial advisors
- Financial planners
- Elder law attorneys
- General practice attorneys
Cases we accept
- Securities fraud
- Stockbroker negligence
- Variable annuity fraud
- Elder financial abuse
- Ponzi scheme losses
- Investment fraud
- FINRA arbitration claims
- Unsuitable investments
Referral fee arrangements
We work with referring attorneys on fee arrangements where permitted by applicable rules of professional conduct. Contact Howard directly to discuss your client's matter confidentially.
Client reviews
What clients and colleagues say
“Howard Rosenfield is truly a life saver. After months of working with my financial advisor, I found out he was making risky investments without my knowledge. If it wasn't for Howard, I would never have recovered my losses.”
★★★★★
J. · Client
Contact
Free confidential consultation
Howard Rosenfield personally reviews every inquiry. There is never a charge for a consultation and no obligation. All cases are accepted on a contingent fee basis. No recovery, no fee.
Call
(860) 677-4334Where we practice
Where Howard Practices
Howard is admitted in Connecticut, Florida, the Second and Ninth Circuit Courts of Appeals, and the U.S. Supreme Court. Because FINRA arbitration is a federal forum, he regularly represents investors from across the country and internationally — regardless of where they live.
Connecticut
- Farmington
- Hartford
- Stamford
- Greenwich
- New Haven
- Westport
- Bridgeport
- Danbury
- Norwalk
- Waterbury
Florida
- Boca Raton
- Miami
- Fort Lauderdale
- Palm Beach
- West Palm Beach
- Tampa
- Orlando
- Naples
- Sarasota
- Jacksonville
Northeast
- New York City
- Boston
- Philadelphia
- Newark
- Providence
- Albany
- White Plains
- Westchester
- Long Island
- New Jersey
National & International
- Chicago
- Los Angeles
- Dallas
- Houston
- Atlanta
- Washington D.C.
- Seattle
- Denver
- United Kingdom
- Netherlands
Don't see your city? FINRA arbitration is a federal forum — Howard has represented investors from across the U.S. and from countries including the United Kingdom, Netherlands, France, Ethiopia, and Brazil. Contact us to discuss your situation.