If you have suffered significant investment losses due to broker misconduct, negligence, or unsuitable investment recommendations, the securities fraud attorneys at The White Law Group may be able to help you recover your losses.
Our firm represents investors nationwide in claims against brokerage firms and financial advisors through FINRA arbitration and other legal avenues. We focus on helping clients recover losses caused by improper investment advice, excessive risk-taking, and failures in supervision.
Most disputes between investors and brokerage firms are resolved through FINRA arbitration, a process required by many account agreements. Our attorneys guide clients through every stage of this process—from initial claim evaluation to resolution.
Speak with an investment loss attorney today for a free consultation.
The White Law Group represents investors who have suffered losses due to:
If your financial advisor recommended investments that were inconsistent with your financial goals, risk tolerance, or need for liquidity, you may have a claim.
Many investors are unsure whether their losses are the result of normal market conditions or broker misconduct.
You may have a potential claim if your financial advisor:
Even if you are unsure, an attorney can review your account and determine whether your losses may be recoverable.
Our securities fraud attorneys represent investors in a wide range of claims involving broker misconduct and investment losses.
Each of these issues may form the basis of a FINRA arbitration claim, depending on the facts of your case.
The White Law Group is experienced in representing investors in the following types of investment fraud cases throughout the FINRA dispute resolution process:
Churning refers to excessive trading by a broker in a client’s account to generate commissions. Advisors must not engage in this practice as it can result in unnecessary costs and may not align with the client’s best interests.
Advisors must disclose any potential conflicts of interest that could compromise their objectivity or prevent them from acting in the client’s best interests. They should avoid situations where their personal or financial interests’ conflict with those of their clients, since it can lead to investment losses and other severe consequences.
Advisors must not recommend investments that are unsuitable for their clients based on their financial situation, risk tolerance, investment objectives, and other relevant factors. They should ensure their recommendations align with the client’s needs and preferences.
If an investor’s portfolio was overly concentrated in risky investments and suffered significant losses, the brokerage firm may be liable for failing to make suitable recommendations or failing to properly supervise the broker.
Advisors must obtain the client’s permission before making any trades on their behalf. Unauthorized trading, where the advisor executes trades without the client’s consent, is prohibited, and may be resolved through the FINRA dispute resolution process, if the client suffered investment losses.
Margin trading involves borrowing funds from a brokerage firm to purchase securities.
Problems may arise when brokers place accounts on margin without proper authorization, fail to explain margin risks or expose investors to excessive leverage.
Certain warning signs may indicate misconduct by a financial advisor or brokerage firm. Additionally, large losses—especially in retirement accounts or conservative portfolios—may warrant further review.
If your account statements are difficult to understand or lack transparency, it may indicate misleading or incomplete reporting.
A broker who avoids calls or fails to respond to questions may be concealing important information.
Investors should be fully informed of the risks, fees, and potential downsides of any investment.
Recommendations that do not align with your financial profile may indicate unsuitable advice.
Paying taxes while your account value declines may signal excessive trading.
Trades made without your knowledge or approval may be a sign of serious misconduct.
FINRA arbitration is the primary method for resolving disputes between investors and brokerage firms.
The process generally involves:
Most cases take approximately 12 to 18 months to resolve, though many settle before a final hearing.
Our attorneys guide clients through each step of the process and work to build strong claims supported by evidence and expert analysis.
The White Law Group is a national securities fraud law firm with offices in Chicago and Seattle. We represent investors in all 50 states.
D. Daxton White, Managing Partner, has practiced securities law since 2003 and has helped clients recover tens of millions of dollars in investment losses. He is a member of the Public Investors Arbitration Bar Association (PIABA) and is AV-rated by Martindale-Hubbell for the highest level of legal ability and ethics.
Michael D. Kennedy, Partner, has extensive experience representing investors in securities arbitration matters. He has been recognized as an Illinois Rising Star and is a member of PIABA as well as the Washington State and Illinois State Bar Associations.
We understand the financial and emotional impact of investment losses and work to hold brokerage firms accountable.
If you have suffered investment losses, you may be entitled to recover damages through FINRA arbitration or other legal action.
Contact The White Law Group today at (888) 637-5510 for a free consultation with an experienced securities fraud attorney.
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