Wisconsin Securities Fraud Attorneys

Wisconsin Securities Fraud Attorneys & Investment Fraud Lawyers

If you suffered investment losses with a Wisconsin broker or financial advisor, The White Law Group may be able to help. Our national securities fraud attorneys represent investors across the country in claims against brokerage firms and financial professionals through FINRA arbitration.

As defined under Wisconsin law, securities include stocks, bonds, promissory notes, mutual fund shares, stock options, limited partnership interests, REITs, oil and gas interests, DSTs and other private placements, commodity contracts, and various “investment contracts.”

Broker-dealers that market securities to Wisconsin residents must be licensed by the Wisconsin Department of Financial Institutions (DFI) and are also regulated by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC).

Wisconsin Department of Financial Institutions: Common Investment Fraud Schemes

The Wisconsin DFI warns investors to be cautious of several recurring types of securities fraud:

Ponzi Schemes

These schemes use funds from new investors to pay earlier investors, often promising unusually high or guaranteed returns. When the flow of new investment stops, the scheme collapses and investors typically lose their money.

Affinity Fraud

Fraudsters may use shared connections—such as religion, ethnicity, community groups, or professional associations—to gain trust and lower investors’ defenses. Shared identity does not make an investment legitimate.

Real Estate and Oil & Gas Scams

These schemes often involve speculative or exaggerated claims about properties, mineral rights, or drilling opportunities—frequently in remote areas investors have never visited. In many fraudulent cases, the underlying asset or business activity is nonexistent or not as represented.

The Wisconsin DFI has broad enforcement authority, including the ability to investigate, sanction, fine, or bar individuals and companies involved in securities violations. Investors may also pursue private claims for losses.

Recovering Investment Losses Through FINRA Arbitration

State regulators often cannot fully compensate investors for their financial losses. FINRA Dispute Resolution offers a forum to pursue recovery directly from brokerage firms and advisors.

Brokerage firms are required to:

• Conduct adequate due diligence on investments

• Fully disclose risks

• Ensure recommendations are suitable based on the investor’s age, objectives, financial situation, experience, and risk tolerance

When firms fail to meet these obligations or make unsuitable investment recommendations, they may be liable for resulting losses through FINRA arbitration.

Free Consultation with Wisconsin Securities Fraud Attorneys

The White Law Group, LLC is a national securities fraud and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. With over 30 years of experience representing defrauded investors, we help clients pursue recovery of investment losses nationwide.

We review securities fraud cases throughout Wisconsin, including:

• Milwaukee

• Madison

• Racine

• Kenosha

• Sheboygan

• Oshkosh

• Green Bay

• Janesville

If you have concerns about investments you made in Wisconsin or suspect your advisor engaged in misconduct, our Wisconsin securities fraud attorneys may be able to assist.

Call The White Law Group at 888-637-5510 for a free consultation.

Frequently Asked Questions (FAQs)

1. What should I do if I suspect my Wisconsin financial advisor committed fraud?

Document your concerns, gather account statements, and contact a securities attorney. A lawyer can evaluate whether you have a claim through FINRA arbitration.

2. Can I sue my broker in Wisconsin court?

Most brokerage agreements require investors to resolve disputes through FINRA arbitration, not state court. An attorney can guide you through the process.

3. What types of investment losses qualify for a FINRA arbitration claim?

Claims may arise from unsuitable recommendations, failure to disclose risks, lack of due diligence, overconcentration, or negligence involving stocks, bonds, private placements, REITs, DSTs, and other securities.