Chicago Securities Fraud Attorneys
Are you seeking to recover investment losses incurred as a result of the fraud or negligence of your financial professional or brokerage firm? The Chicago securities fraud attorneys at White Law Group may be able to help you to recover your losses.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. With over 30 years of securities law experience, The White Law Group has the expertise to help victims of investment fraud.
Our firm exclusively represents investors seeking to recover investment losses incurred as a result of broker fraud or negligence of their financial professional or broker-dealer. We review investment fraud cases involving all FINRA registered broker-dealers and have handled more than 700 cases against most of the major broker-dealers, including Morgan Stanley, Wells Fargo, Merrill Lynch, UBS, Edward Jones, Raymond James, Securities America, Cetera, and LPL Financial.
The securities cases we review often involve some form of the following type of securities fraud: unsuitability, churning and/or excessive trading, unauthorized trading, failure to execute, improper use of margin, and overconcentration (holding off an inordinately large position of one investment).
We review numerous securities cases per year involving all manner and scope of securities frauds, but it seems that many of the cases that we review often involve the same general types of complex investment products. Interestingly, these investment products are also the same products that pay financial advisors the highest commission. The investment products that we most see being abused in reviewing securities fraud cases are cases involving non-traded REITs, variable annuities, Tenants-In-Common (TICs), 1031 DSTs, Reg D private placements, and non-traded Business Development Companies (BDCs).
FINRA Arbitration to Recover Damages
The Financial Regulatory Authority, the self-regulator who oversees brokers and brokerage firms, protects investors and sets standards for professional conduct, licensing, and education for individuals and firms in the securities industry.
FINRA arbitration is a process in which an impartial arbitrator or panel of arbitrators is appointed to hear the dispute and render a decision. The White Law Group helps clients navigate the arbitration process and represent their interests throughout the proceedings. This can include preparing and filing the initial claim, conducting discovery, presenting evidence and arguments at the hearing, and appealing the decision if necessary.
You may need to call a securities attorney, if you see the following warning signs:
Your broker fails to disclose important information regarding an investment purchase.
Your broker fails to return your calls.
You don’t understand the transactions on your statements.
Your broker begins trading in high risk and speculative investments.
You are paying capital gains taxes when your account value is decreasing.
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 large 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.
Hiring a Chicago Securities Fraud Attorney
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle Washington. Our firm has the expertise to help you recover damages due to broker negligence and/or securities fraud. To speak to an experienced securities attorney in Chicago, please call The White Law Group at 888-637-5510. For more information on the firm, please visit our website.Tags: Chicago securities attorney Last modified: September 22, 2023