Securities Fraud Attorneys Fighting for Investors Nationwide

More Than $55 Million Recovered for Investors: Representing Clients in All 50 States

Backed by years of experience in FINRA arbitration and a national reputation for ethical, results-driven representation, The White Law Group has handled 800+ cases on behalf of harmed investors.

Investment Losses? Contact Us Now for a Free Consultation.

No fees unless we recover your losses.

Your financial future deserves strong, experienced representation.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in all 50 states with claims against their financial professional or brokerage firm. Since our securities fraud attorneys launched this law firm in 2010, it has handled over 800 FINRA arbitration cases nationwide. With over 30 years of practice, the securities arbitration attorneys at The White Law Group have recovered over $50 million on behalf of investors since 2010.

Locations

Chicago

125 S Wacker Drive, Suite 300
Chicago, IL 60606
Phone: (312) 238-9650

Seattle

450 Alaskan Way S., Suite 200
Seattle, WA 98104
Phone: (888) 637-5510

Do I Need a Securities Fraud Attorney?

Securities Fraud Red Flags

Securities fraud may involve the abuse of your investment portfolio by a financial advisor or broker-dealer through excessive trading, overconcentration, or unsuitable investments such as non-traded REITs, oil and gas limited partnerships, annuities, or Unit Investment Trusts. While investment losses can result from normal market risk, questionable account activity, recommendations, or broker communication may be a sign that it is time to speak with a securities fraud attorney.

You may want to have your case reviewed if you experienced:

Unexpected or unexplained investment losses that do not match the risk level you discussed with your broker.

A portfolio concentrated in one product, sector, or strategy without a clear explanation of the risks.

Investments you did not fully understand or were told were “safe,” “low-risk,” or “guaranteed.”

Unauthorized trades or transactions you do not remember approving.

Pressure to invest quickly without enough time to review documents or ask questions.

A broker who stopped communicating after your account began losing value

Recommendations that did not fit your age, income needs, retirement goals, or risk tolerance.

Learn more about common claims involving

Unsuitable Investment Recommendations

Failure to Supervise

Misrepresentation and Omissions

Overconcentration Claims

If any of these situations sound familiar, it may be time to explore your legal options.

Not sure if you have a case?

The White Law Group in the Media

Investment Losses? You May Still Have Options

Losing money in the market can be frustrating, but not all losses are the same.

Some losses are caused by normal market fluctuations. Others may result from broker misconduct or inappropriate investment recommendations.

You may be able to recover losses if your financial advisor:

Recommended high-risk or illiquid investments without proper disclosure
Concentrated your portfolio in products like non-traded REITs or private placements
Failed to explain the true risks, fees, or lack of liquidity
Prioritized commissions over your best interests

Many investor claims involve complex or alternative investments, including:

Non-Traded REITs

Business Development Companies (BDCs)

Reg D Private Placements

1031 DST Private Placement Investments

These products are often sold as income-generating or conservative, but may carry significant hidden risks.

If your losses were caused by poor advice or misconduct, you may be entitled to financial recovery.

Why Hire the White Law Group?

$50M+

Recovered for Investors

30+ Years

of Securities Law Experience

800

FINRA Arbitration Cases

50 States

Representing Investors

5-Star AVVO Attorney Rating

Contingency Based Fees

Free
Consultation

PIABA
Attorneys

FINRA
Attorneys

I had a very good experience. I was treated very well by The White Law Group and his legal assistant William. The office is extremely thorough, professional and easy to communicate with. Throughout the process of my case, their in depth knowledge of the law and professionalism executing the law was encouraging. My overall experience with the firm was that they are extremely, professional and advocates for those needing help. I would highly recommend this law firm to family and friends

This is a responsive and knowledgeable law firm who listens to their clients and pursues reason over emotion. Kudos to you!

I am a retired lawyer, after some 35 years in practice. My wife and I needed help with a securities matter and connected with Mr. White. Long story short, he accurately analyzed the case and got a very good result for us. I admired his approach and tactics. Highly recommended.

Dax White and Mike Kennedy were able to help me unwind, and then resolve a longstanding dispute I had with a brokerage firm. Their experience in dealing with securities issues was apparent. I gained confidence in their abilities in short order. Very pleased. Highly recommend them. Thanks!

Can I Sue My Broker?

We fight to recover your losses when brokers lie, mislead, or abuse your trust in the markets.

Our Main
Practice Areas

Securities Employment Attorneys

We defend financial advisors and brokers, protecting careers and rights in FINRA-employment disputes.

Can I Sue My Broker for Investment Losses?

In many cases, investors who suffer losses due to broker misconduct have the right to pursue a claim.

However, most investors do not file lawsuits in court.

Instead, claims against brokerage firms are typically resolved through the
Financial Industry Regulatory Authority arbitration process.

You may be able to bring a claim if your broker or financial advisor:

Made unsuitable investment recommendations
Misrepresented or omitted key facts
Failed to properly diversify your portfolio
Engaged in excessive trading or negligence

Claims may be brought against:

Your financial advisor
The brokerage firm
Supervisors responsible for oversight

Most brokerage account agreements require disputes to be resolved through arbitration rather than litigation, making it critical to understand your rights and options.

Learn more about the process here: FINRA Arbitration for Investment Losses

Why FINRA Arbitration May Be the Best Path to Recovery

For most investors, recovering losses from broker misconduct happens through FINRA arbitration—not the courtroom.

FINRA arbitration is a dispute resolution process specifically designed for investor claims against brokerage firms.

Compared to traditional litigation, arbitration may offer:

Faster resolution timelines
Lower overall costs
Industry-experienced arbitrators
Binding decisions that can result in financial awards

The arbitration process typically involves:

Filing a claim
Exchanging evidence (discovery)
Attending a hearing before arbitrators
Receiving a final decision or award

Understanding how this process works can make a significant difference in your ability to recover losses.

Learn more about how to file a FINRA Arbitration claim for investment losses.

Our attorneys have represented investors nationwide in FINRA arbitration claims involving unsuitable investments, private placements, REITs, and other complex products.

Meet Our Team of Securities Fraud Attorneys

D. Daxton White

Managing Partner

Michael D. Kennedy

Partner

Practice Areas

Practice Areas (Common Securities Claims)

Selling Away

Elder Financial Exploitation

Margin Trading

Broker Negligence

Unsuitable Investments

Misrepresentation

Excessive Trading/Churning

Ponzi Schemes

Unauthorized Trading

Complex Investments

Have you suffered losses investing in the following? Contact the securities arbitration attorneys at The White Law Group.

Non-traded REITs

Structured Products

Business Development Companies BDCs

Private Placement Investments under REG D

Oil and Gas Drilling Programs

1031 DSTs Delaware Statutory Trust

Frequently Asked Questions

What Are the Main Types of Securities Fraud?

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.

What Does a Securities Law Expert Do?

Otherwise known as a financial fraud attorney, this legal professional typically represents investors after they suffer economic losses due to a broker or advisor’s misconduct. Contacting a law firm that provides legal services for stock fraud can help you gather evidence, form a strong case, and negotiate on your behalf.

What Are the Consequences of Securities Fraud?

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.

What is FINRA arbitration, and how does it help investors recover losses?

FINRA arbitration is a legal process used to resolve disputes between investors and brokerage firms or financial advisors. Instead of going to court, claims are decided by neutral arbitrators through the Financial Industry Regulatory Authority. This process is often faster and more cost-effective, and it is the primary way investors pursue recovery for losses caused by broker misconduct, unsuitable recommendations, or misrepresentation.

Do I have to go through FINRA arbitration to recover investment losses?

In most cases, yes. Many brokerage account agreements require disputes to be resolved through FINRA arbitration rather than traditional court litigation. This means that if your losses are tied to a broker or brokerage firm, arbitration is typically the required path to seek financial recovery.

How long do I have to file a FINRA arbitration claim?

FINRA generally requires claims to be filed within six years of the event that caused the loss. However, certain circumstances may affect this timeline. Speaking with a securities attorney as soon as possible can help ensure you don’t miss important deadlines that could impact your ability to recover losses.

What types of broker misconduct can lead to a FINRA claim?

Common forms of broker misconduct include unsuitable investment recommendations, excessive trading (churning), unauthorized trading, failure to disclose risks, and misrepresentation of investment products. If your financial advisor’s actions didn’t align with your goals or risk tolerance, you may have grounds for a claim.

What is considered an “unsuitable investment”?

An unsuitable investment is one that does not match your financial situation, investment objectives, or risk tolerance. Brokers are required to recommend investments that are appropriate for each client. If you were placed into high-risk or complex products without proper consideration or explanation, it may be considered unsuitable.

Can I still file a claim if I signed documents or approved the investments?

Yes. Even if you signed account documents or approved transactions, brokers still have a duty to act in your best interest and provide suitable recommendations. Many investors are unaware of the risks involved at the time, and signing paperwork does not eliminate potential liability for misconduct.

How much does it cost to file a FINRA arbitration claim?

The White Law Group handles cases on a contingency fee basis, meaning you do not pay upfront legal fees. Fees are only collected if your case results in a recovery. There may be filing or administrative costs associated with arbitration, but these are typically discussed during your consultation.

What types of investments are commonly involved in FINRA arbitration claims?

Claims often involve complex or high-risk investment products such as non-traded REITs, private placements, variable annuities, structured products, and alternative investments. These products can carry significant risks that are not always fully explained to investors.

What evidence is needed to support a FINRA arbitration case?

Key evidence may include account statements, trade confirmations, emails or communications with your broker, and notes about your investment goals. Even if you don’t have all the documentation, an attorney can help gather the necessary records to evaluate your claim.

How long does the FINRA arbitration process take?

Most FINRA arbitration cases take between 12 to 18 months from filing to resolution, though timelines can vary depending on the complexity of the case. While it may take time, arbitration is generally more efficient than traditional court proceedings.

Will I have to travel or appear in person for arbitration?

Not always. Many parts of the arbitration process can be handled remotely, and your legal team will guide you through each step. If a hearing is required, your attorney will help prepare you and minimize any disruption as much as possible.

What is the difference between FINRA arbitration and mediation?

FINRA arbitration results in a binding decision made by arbitrators, while mediation is a voluntary process where both parties attempt to reach a settlement with the help of a neutral mediator. Some cases may go through mediation before or during arbitration.

Can I recover losses if my broker’s firm has already been fined or investigated?

Yes. Regulatory actions do not automatically compensate investors. Even if a brokerage firm has been fined or disciplined, you may still need to file a FINRA arbitration claim to pursue recovery for your individual losses.

How do I know if I have a valid FINRA arbitration case?

If you experienced significant investment losses and believe your broker acted improperly, you may have a valid claim. A consultation can help determine whether misconduct occurred and what recovery options may be available.

What should I do if I suspect my financial advisor caused my losses?

Start by gathering your account documents and avoiding further risky transactions. Then, speak with a securities attorney to review your situation. Early evaluation can help preserve your claim and clarify your next steps.

Investment losses? Contact The White Law Group today for a free consultation and learn your recovery options.

Here Are Signs It’s Time to Contact Securities Fraud Attorneys:

Your broker fails to return your calls.

You don’t understand the transactions on your statements.

Your broker fails to disclose important information regarding an investment purchase.

Your broker begins trading in high-risk and speculative investments.

You pay capital gains taxes when your account value decreases.

You find transactions on your account statements that you did not previously authorize.

As a guideline, if you are retired and have lost more than 15% of your account in a single year or have suffered significant losses in a single security, you should have someone review your account to determine if the investments selected by your financial professional are in keeping with your investment objectives.