125 S Wacker Drive, Suite 300
Chicago, IL 60606
Phone: (312) 238-9650
450 Alaskan Way S., Suite 200
Seattle, WA 98104
Phone: (888) 637-5510
Securities fraud is the abuse of your investment portfolio by your financial advisor and/or broker-dealer. It may include excessive trading (churning), overconcentration, and the sale of unsuitable investments (non-traded REITs, oil and gas limited partnerships, annuities, Unit Investment Trusts).
Significant investment losses do not necessarily prove broker wrongdoing—they could result from market forces. It can be difficult or almost impossible to tell if you’ve been defrauded unless you consult with an experienced securities fraud attorney. If you are concerned about investment losses due to broker misconduct or negligence, our securities arbitration attorneys can help.
If you’ve experienced unexpected financial losses, don’t assume it’s just market volatility. Many investors unknowingly fall victim to broker negligence, misrepresentation, or blatant fraud. Speaking with FINRA attorneys at The White Law Group can make a difference during these times. Our experienced FINRA lawyers are ready to analyze account statements, explain your legal options, and hold a broker responsible for their actions.
Contact our securities fraud attorneys now for a free consultation!
Recovered for Investors
of Securities Law Experience
FINRA Arbitration Cases
5-Star AVVO Attorney Rating
Contingency Based Fees
Free
Consultation
PIABA
Attorneys
FINRA
Attorneys
If you suffered investment losses due to broker misconduct or fraud, you may be able to sue your broker. You begin this process by filing a securities fraud lawsuit, or more commonly, a FINRA arbitration claim. If you ever find yourself in such a situation, a securities fraud attorney can help.
Virtually every brokerage firm in the country includes an “Arbitration Provision” on the forms you sign on the day you open your account, often in fine print. Generally, this provision provides that if you dispute your account, including any claim for damages or losses, you waive your right to go to court and further agree to arbitrate your disagreement before either FINRA or one of the exchanges, like the NYSE. Working with a skilled FINRA lawyer who understands securities fraud can be crucial in these cases.
FINRA, the self-regulator that oversees brokers and brokerage firms, operates the largest dispute resolution forum in the securities industry. Securities fraud attorneys can aid you as you navigate the dispute resolution process to maximize your chances of recovering your losses.
The good news is that FINRA arbitration is generally faster and less costly than court litigation. Most arbitration panels are composed of three members. At the final hearing, after presenting your case and the defense has presented its case, the arbitration panel will decide if you are entitled to any recovery, and if so, how much.
Being unsure of how to begin and continue the arbitration process is understandable. The securities fraud attorneys at The White Law Group are ready to help.
Many securities cases do settle. Sometimes, the parties agree to mediate their dispute before the arbitration hearing. Mediation is a voluntary process utilizing the services of an independent third party who attempts to facilitate a settlement between the parties by analyzing the strengths and weaknesses of the respective parties’ cases and offering their opinion on the eventual outcome at arbitration.
Hiring a knowledgeable securities arbitration attorney can make a significant difference if you need guidance navigating complex financial disputes. At The White Law Group, our stellar team includes highly experienced FINRA attorneys who focus on protecting investors’ rights.
Securities fraud constitutes any deceptive practice to mislead investors and financially harm them. This type of fraud can occur in many ways, including Ponzi schemes, churning, or providing unsuitable investment recommendations. If any of the previously listed situations happen to you, contact an investment fraud lawyer immediately.
This type of fraud can incur a range of severe penalties. A broker or advisor guilty of securities fraud may face regulatory, civil, and criminal consequences. Disciplinary action from FINRA can include an advisor having their license suspended or revoked. Do you need legal help for stock fraud? Contact The White Law Group to speak with an investor fraud attorney.
