Farmington, Connecticut · National Practice
35 years fighting
for investors.
Howard M. Rosenfield has helped thousands of investors throughout the United States — and from countries including the Netherlands, United Kingdom, France, Ethiopia, and Brazil — recover losses due to stockbroker fraud and advisor misconduct.
Contingent fee. No recovery, no fee. Free confidential consultation.
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.
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
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Representative cases
35 Years Of Results
Past results do not guarantee future outcomes. Every case is evaluated on its own facts and circumstances.
Obtained award against Chief Compliance Officers and a Russian financial advisor who lured other Russian investors via an affinity group into fraudulent stock issues.
Recovery for losses suffered through reckless options trading by a financial advisor at a nationally known brokerage firm.
Obtained recovery of retirement portfolio for sophisticated former CEO of modeling agency from a large brokerage firm.
Recovered commodity trading portfolio losses through National Futures Association mediation for an investor in alternative investments.
Participated in class action recovery for union members against a trade association for undisclosed fees charged by the advisor.
Recovery against annuity salesman and firm for misrepresentation in investor profile in connection with variable annuity sales and exchanges.
Recovery for investors defrauded through selling away of promissory notes outside the broker's approved product list.
Recovery for dozens of investors from a "discount" brokerage that claimed no commissions while charging hidden markups on all transactions.
Represented a widow whose advisor recommended frequent switches of Class B shares — high expenses and back-end fees made switching completely unsuitable.
Obtained vested pension benefits for a financial advisor when the broker-dealer claimed benefits were forfeited when the advisor changed firms.
Obtained recovery for investors defrauded through a Ponzi scheme sold by a brokerage firm acting as the distribution channel.
Recovery for a real estate investor whose advisor concentrated the portfolio in unsuitable preferred shares — 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.
Free case evaluation
Think You Have A Claim? Start Here.
Complete our confidential investor questionnaire. It takes about 10 minutes and gives Howard everything he needs to evaluate your potential claim — at no cost and no obligation.
No recovery, no fee. Howard personally reviews every submission.
Secure · Confidential · Free
Investor Questionnaire
Takes about 10 minutes. Howard personally reviews every submission. Your information is strictly confidential.
Start The QuestionnaireOr call toll free (800) 637-3243
Client reviews
What Our Clients 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."
Contact
Free Confidential Consultation
Howard Rosenfield personally reviews every inquiry. There is never any charge for a consultation and no obligation. All cases are accepted on a contingent fee basis — no recovery, no fee.
Toll free
(800) 637-3243Connecticut office
10 Waterside Drive #303
Farmington, CT 06032
Tel: (860) 677-4334
Florida office
2255 Glades Road #324A
Boca Raton, FL 33431
Free consultation · No obligation · Strictly confidential