Practice Areas – The White Law Group

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors and financial advisors in claims in all 50 states. Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases.

Securities Fraud Attorneys

The securities fraud attorneys at The White Law Group represent retail investors who have fallen victim to fraudulent or deceptive practices within the securities market. We investigate and pursue claims of securities fraud on behalf of investors who have suffered financial losses due to misconduct by brokers or financial advisors.

Our attorneys diligently evaluate the legal merits of potential claims, conducting thorough reviews of investment portfolios and transactions to identify instances of fraud or negligence.

We advocate for investors’ rights, seeking restitution and compensation for their losses through FINRA Dispute Resolution claims.

How do you know if you need a Securities Fraud Attorney? 

You may need to call a securities fraud 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. 

Securities Attorney for FINRA Arbitration & Mediation  

You may have heard the term “FINRA.” The Financial Industry Regulatory Authority (FINRA), overseen by the SEC, provides regulatory services to the financial industry by licensing and regulating broker-dealers.  FINRA also operates the largest dispute resolution forum in the securities industry.  FINRA Dispute Resolution is the forum for almost all disputes between investors, brokerage firms and brokers.     

Investors can file an arbitration claim or request mediation through FINRA when they have a dispute involving the business conduct of a brokerage firm or one of its brokers. Dispute Resolution is not the same as filing an investor complaint.    

If you are looking to recover damages, filing a FINRA arbitration or mediation case with a securities attorney offers you a way to seek damages. Investors are not limited to one or the other option, you can file an investor complaint and file for arbitration.    

Securities Employment Attorneys

Securities employment attorneys play a vital role in representing brokers and financial advisors within the securities industry. Brokers and brokerage firms may also find themselves in need of a securities attorney familar with FINRA arbitration.

The securities attorneys at The White Law Group provide counsel on various employment-related matters, including wrongful termination, U4 and U5 expungement, promissory note claims, or breach of contract, among others.

We act as advocates for brokers and advisors, ensuring that their rights are protected and their interests are safeguarded in employment relationships.

Additionally, we assist our clients in navigating regulatory requirements and industry standards set by organizations like FINRA and the SEC.

Whether it’s negotiating employment terms, resolving disputes, or managing career transitions, we offer invaluable support to brokers and financial advisors, helping them navigate the complexities of the securities industry with confidence and clarity.

Securities Employment Attorneys can help:

• To ensure compliance with FINRA rules and regulations.
• If you need representation in FINRA investigations or disciplinary proceedings.
• If you need assistance with obtaining and maintaining required licenses and registrations.
• If you need representation in customer complaints or arbitration claims.
• If you need guidance on employment contracts, disputes, and non-compete agreements.