Did you Suffer Investment Losses with your Financial Advisor in Peoria, Illinois?
Have you suffered investment losses with your broker or financial advisor? If so, the Peoria Illinois securities attorneys at the White Law Group may be able to help you. The White Law Group, LLC, a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm, has offices in Chicago, Illinois and Seattle, Washington.
With offices in Chicago, Illinois, the White Law Group handles securities fraud cases throughout the state of Illinois, including reviewing securities fraud cases in Springfield, Peoria, Champaign, Decatur, Aurora, Rockford, and Naperville. All cases in the Midwest portion of the United States are administered out of FINRA’s Chicago, Illinois Dispute Resolution office.
Illinois Division of Financial Institutions
Illinois law defines securities as stocks, bonds, promissory notes and other evidences of indebtedness; shares in mutual funds; stock options; limited partnership interests; interests in oil and gas, mining, or real estate ventures or leases; certificates of deposit; some commodity contracts; and “investment contracts” which could refer to certain kinds of unusual investment arrangements in which the investor is to rely on the effort of others for some essential managerial activities.
The mission of the Illinois Department of Financial and Professional Regulation, Division of Financial Institutions (DFI), is to protect and educate the public and promote confidence in the regulated industries through administration of statutory responsibilities in an efficient, professional, responsive, and innovative manner.
FINRA Arbitration and Mediation to Recover Investment Fraud Losses
State regulators are often limited in how much they can help in recovery of investment losses. Broker-dealers, firms which market investments to the public, are also regulated by the Financial Industry Regulatory Authority (FINRA) and the Securities Exchange Commission (SEC).
FINRA Dispute Resolution is an arbitration venue for investors across the country with claims against their brokerage firm or financial professional. It provides investors with an opportunity to attempt to recoup their investment losses without filing such claims in court.
Brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment prior to making recommendations to an individual investor. Recommendations should only be made if the investment is suitable for an individual investor given their age, investment objections, investment experience and risk tolerance.
Brokerage firms that do not perform adequate due diligence on an investment and/or make unsuitable recommendations can be held accountable for investment losses through FINRA arbitration
The White Law Group – Peoria Illinois Securities Attorneys
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 claims in all 50 states against their financial professional or brokerage firm. Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases.
Our firm represents investors in Peoria in all types of securities related claims, including claims involving stock fraud, broker misrepresentation, churning, unsuitable investments, selling away, and unauthorized trading, among many others.
With over 30 years of securities law experience, The White Law Group has the expertise to help Peoria investors defrauded in securities, investment and financial business transactions attempt to recover their investment losses.
The firm reviews securities fraud cases throughout Illinois, and across the country. If you have questions about investments, the Peoria Illinois securities attorneys of The White Law Group may be able to help. For a free consultation, call the firm’s Chicago office at 888-637-5510.
For more information on The White Law Group, please visit our website at https://whitesecuritieslaw.com.
Tags: Peoria Illinois, securities attorneys Last modified: September 21, 2023