AV Preeminent
Justia Lawyer Rating
Super Lawyers
Best Lawyers
Best Law Firms

Questions and Answers for Investors

What Should Investors Be Doing to Protect Themselves?

Review your account activity and speak with your financial advisor if you have any questions or concerns.

What Can I Do if I Have a Potential Complaint Against Our Investment Professional?

Call us (212) 684-0300 and one of our attorneys will call you back for a free initial consultation or email ross@riklawfirm.com or john@riklawfirm.com to email with one of our partners.

Can I File a FINRA Arbitration During the Crisis?

Yes. FINRA’s dispute resolution forum is completely functional and is accepting new case filings. All of FINRA’s case management was already fully online prior to the pandemic. The only parts of FINRA arbitrations that are not occurring presently are in person arbitrations hearings and mediations but that will not affect the filing and early stages of an arbitration. Read Diane Sammarco's blog post for a primer on it.

Client Reviews
Daniel Katz and his firm are exceptionally knowledgeable about the constantly changing construction business and they have given my company insightful legal advice throughout the years. They have assisted with numerous construction negotiations, claims, and business matters with many satisfactory resolutions. Michael B.
Daniel Katz and his team have always been exemplary, always prepared, always responsive and extremely knowledgeable about construction issues. I cannot imagine better representation. Jim F.
RIK fought hard for me in my FINRA arbitration which resulted in an outstanding result. I will forever be grateful to them. Jeff B.
Ross and his team did a wonderful job representing me in my employment dispute. They were honest, intelligent and hard working. I recommend RIK to all of my colleagues in the financial industry. Steven F.
The theft of pension fund assets by a money manager prompted the Board of Trustee’s investigation into “how did this happen?” John Rich and the Rich, Intelisano & Katz team managed this complex securities litigation matter to fruitful results for our pension fund. Cecelia C., Executive Director