Long Island Finra Attorney
FINRA Lawyer

Disputes between investment clients and brokerages happen all the time, and they almost always trigger a FINRA investigative action. Often, they result in a forced arbitration where the Financial Industry Regulatory Authority (FINRA) presides to weigh the merits of the complaint and decide upon a corrective action, if necessary and any financial remedies the aggrieved party may be entitled to. Unlike mediation, these arbitration decisions are binding, and they often leave individuals little time to prepare.

Because of the high stakes involved and the expectation of expedited proceedings, FINRA lawyers highly recommend that both sides involved seek representation from a qualified FINRA attorney. Victims of alleged investment schemes or misconduct need an experienced investment fraud lawyer who has experience with securities arbitration, access to the appropriate experts, and an understanding of the finer details surrounding investment law.

Our attorneys represent:

  • Individual investors
  • Domestic corporations
  • Broker-dealers
  • Stockbrokers
  • Financial advisors
  • Financial planners
  • Registered investment advisor firms
  • Insurance companies
  • Banks
  • VC firms
  • Entrepreneurs
  • Hedge funds

If you are facing tens of thousands of dollars in losses or more because of a broker’s malfeasance or investment advisor fraud, TonaLaw can provide you with a highly qualified securities arbitration lawyer to represent your case in arbitration. 

We have attorneys who are highly experienced with FINRA arbitration and who understand the nuances of investment law. We fight vigorously for the rights of our clients and build a strong case concerning their unacceptable losses and how they could have been avoided through more prudent actions on the part of the broker or brokerage firm.

Learn more about your rights and the optimal legal strategies you might use to strengthen your case during a free consultation with our FINRA attorneys. Contact us now by calling 1-833-TONALAW or by using our online form to schedule your free, confidential, no-obligation consultation today.

Protecting Victims of Investment Fraud through Expert Arbitration Strategies

FINRA handles a wide variety of matters related to suspected investment fraud or malfeasance. Common reasons that people file complaints against their broker or investment advisor include:

  • Over-concentration
  • Unsuitable investments
  • Churning of accounts with excessive commissions
  • Unauthorized trading
  • Excessive margin or leverage use
  • Misleading or fraudulent statements
  • Failure to conduct due diligence
  • Conflicts of interest

Whatever the reason you feel like you have been made a victim, you can rely upon an investment fraud attorney to represent your case during a securities arbitration. 

What to Do If You Suspect Investment Advisor Fraud or Malfeasance

No matter whether you are an individual or represent a company or some other legal entity, you have rights under federal and state investment and securities regulations. 

You can choose to initiate an arbitration or mediation proceeding against the accused party by contacting FINRA directly. The FINRA website provides instructions and the appropriate forms to file your complaint and request for action.

Unlike many forms of litigation, your FINRA proceeding will likely be handled fairly expediently. You may only have a few weeks to prepare. For this reason, you may wish to report an incident to the SEC or FINRA but delay a request for arbitration until you have all the evidence available. In the meantime, you can contact an experienced FINRA arbitration team to help you assemble the strongest case possible. 

You Deserve Fair Representation to Help You Recover All Losses

Brokers and financial advisors are governed by ethics laws and strict regulations regarding conduct. Many times, preventable losses come about because they flout these rules in favor of profit-seeking for themselves.

TonaLaw’s investment fraud lawyers will seek out every available piece of evidence that an investment decision or suggestion violated rules, and we will frequently attempt to further these assertions by documenting specific actions that the broker, advisor, or other entity seeking to enrich themselves through their actions. In the event that the action resulting in losses was not related to an unethical attempt to profit, our attorneys will seek to document negligence, a lack of due diligence, or any other indicator of a failure to follow expected protocols.

If your losses involve other forms of fraud, such as pensions fraud, scams, or misrepresentation by a non-broker entity, we can investigate all potential legal actions and pursue all liable parties to the fullest extent of our capabilities. We want you to have the highest chance possible of obtaining the maximum compensation available for your damages under federal and New York state laws.

Providing Reliable Investment Fraud Attorneys in Your Time of Need

TonaLaw’s FINRA attorneys work tirelessly to review applicable laws, past rulings, and evidence regarding investment malfeasance to give our clients the strongest chances of success. We thoroughly review all potential damages to ensure our clients recover what they are owed.

You can entrust us to work closely with you throughout your case, explaining all your options and advising as to the optimal choices that lay in your best interest. Find out why we are rapidly becoming a trusted name for Long Island securities arbitration proceedings and handling all matters related to FINRA. Schedule a free, no-obligation case review to begin the conversation and find out what our securities arbitration lawyers can do for you.

To schedule your free consultation now, simply call 1-833-TONALAW or contact us online.

What Our Clients Are Saying

Excellent5.0 Based on 381 reviews from review us onJennifer CaceresJennifer Caceres ★★★★★ I highly recommend using tonalaw. Lauren and Jada are amazing. Any questions or concerns I had they answered. I am happy I choose tonalaw .Response from the ownerThank you so much for your review Jennifer! We are so glad to hear that you were pleased with our responsiveness and thoroughness in addressing your questions and concerns. Your feedback is invaluable to us, and we are committed to providing our clients with the best possible legal representation. Thank you again for your kind words. We are honored to have you as a client. Carlos UmanaCarlos Umana ★★★★★ Excelente atención buena comunicación contestan mis preguntas con sinceridadResponse from the ownerThank you so much for your review Carlos! Your feedback is invaluable to us, and we will continue to strive to provide you and all of our customers with the outstanding service you deserve. Yanira Del ValleYanira Del Valle ★★★★★ Mr. Tona is such a wonderful human and attorney. So helpful, without a second thought, he shares his knowledge and experience. He helps makes this Plaintiff community a better one. Thank you!!!Response from the ownerThank you Yanira! It was so great meeting you. Marvin SortoMarvin Sorto ★★★★★ TonaLaw is a very reputable firm. Ana is such a great asset to the firm. She is also bilingual with many years of experienceResponse from the ownerThank you for your kind words Marvin! gary gundersengary gundersen ★★★★★ I’ve been to tona law several times already and I’ve had the pleasure to deal with Ana both time and she was amazing. Made sure all paperwork was in order and is super thorough with everything. Highly recommendedResponse from the ownerThank you so much for taking the time to share your positive experience with us at Tona Law. We are so glad to hear that you were pleased with the services provided by Ana. We are committed to providing our clients with the highest quality legal representation, and we are always striving to exceed expectations. Jennifer PorterJennifer Porter ★★★★★ Tom Tona puts so much emphasis and effort into developing a fantastic law firm, delivering excellent results for their clients and also staying at the forefront of law firm management skills. I am super impressed by my conversation and interaction with Tom and am happy to recommend him!Response from the ownerJennifer, thank you so much for this wonderful review. We are delighted to hear that you were impressed with your conversation and interaction with Tom. We strive to provide a positive and supportive experience for all of our clients, and we are so glad to hear you had such a positive interaction with Mr. Tona. Thank you again for your kind words. Janet SowinskiJanet Sowinski ★★★★★ Lauren, one of the paralegals at Tona Law is very knowledgeable, compassionate and very professional. She genuinely cares for her clients and is always willing to go the extra mile to help. Having known her for several years, i can confidently recommend both Lauren and Tona Law to anyone seeking great assistance.Carmen SandovalCarmen Sandoval ★★★★★ Quiero darles las gracias por haberme representado en mi caso, felizmente estos abogados lograron ganar ni caso, y estoy muy satisfecha por su gran trabajo, hablan español y la señorita Ana es muy atenta y cordial y amable con sus clientes, muchisinas gracias x sus servicios ademas de ser rapidos, nos ayudan mucho especialmente a las personas qué sólo hablamos español, les recomiendo este servicio de abogados muy honestos. Muchas gracias👌😘Miguel MenaMiguel Mena ★★★★★ Ana is extremely knowledgeable and a great asset to your firm! Definitely will be coming back.Sandie RivasSandie Rivas ★★★★★ Ana is amazing! Working with her was extremely enjoyable. She is a great asset to Tonalaw and always eager to help!Darwin RomeroDarwin Romero ★★★★★ Ana was an absolute pleasure. She was incredibly knowledgeable and thoughtful throughout the entire process. Highly recommend!Emma SortoEmma Sorto ★★★★★ Ana is a wonderful personal. She is very talented and very hardworking. Best thing is that she is bilingual! Always willing to help anyone who is in need of a hand! You are in great hands at Tona Law!nicole garcianicole garcia ★★★★★ Couldn’t recommend Lauren more!!! I’ve known Lauren for years, she is a dedicated, hard worker and is so professional when it comes to her job. She really cares about her clients and doing the best for them.Dolceprincipessa xoDolceprincipessa xo ★★★★★ I highly recommend Will Ramos as a lawyer. He is a true professional. He explained my options with me and was very accessible & kept me updated! I also had the pleasure of working with Jayden. She was great as well. They assisted with my case and helped me tremendously! Highly recommend :)yessenia lopez ramosyessenia lopez ramos ★★★★★ I have know Attorney Will Ramos for many years. He is very detail oriented, a great advocate, and an empathetic individual.I have referred a few clients during their time of need over to Will and the friendly staff at Tona Law. He is willing to go above and beyond for others.CARLOS RODRIGUEZCARLOS RODRIGUEZ ★★★★★ I have known Will Ramos for 15 plus years and can attest to his character in placing the needs for others above his own. He is an asset to any organization and a team player with positive attitude.Jessica MalaveJessica Malave ★★★★★ I’ve known attorney Will Ramos for 16 years he always places the needs of others above his own. He is a caring man and super understanding and has a big heart.Bianca RamosBianca Ramos ★★★★★ Attorney Will Ramos is awesome the law firm is lucky to have someone like him part of their team. He genuinely cares for others and is always willing to lend a helping hand.Response from the ownerBianca, thank you for leaving a wonderful review for our firm. We are lucky to have Will Ramos as part of our team! Arianna RamosArianna Ramos ★★★★★ Attorney Will Ramos is nothing short of dedicated and hard working. Each case he works on demonstrates his passion for law and his care for his clients.Response from the ownerThank you for your review, Arianna! Will Ramos has been a wonderful asset to our team. JenneferJennefer ★★★★★ I've had the pleasure of knowing Lauren for quite a while now, and I must say, her dedication to her clients is truly remarkable. She takes immense pride in her work as a professional she seamlessly balances her role at Tona Law, where she's involved in legal matters. Having seen her commitment and skill firsthand, I can confidently recommend both Lauren and Tona Law to anyone seeking top-notch assistance.Celine Aubry-DumandCeline Aubry-Dumand ★★★★★ I had a great experience working with TonaLaw.The team was really friendly and helpful throughout the entire process.Response from the ownerCeline, thank you so much for taking the time to leave a review for our firm. We are so grateful we were able to help you and provide you with a great experience. Thank you! Adam OmallyAdam Omally ★★★★★ I have known Lauren one of the paralegals at Tona law for many years and she is dedicated to her profession and helping her clients. Wonderful person.Alexandra DevineAlexandra Devine ★★★★★ Lauren at TonaLaw was extremely helpful! She was so nice and professional. I highly recommend asking for her!Margaret CaschettaMargaret Caschetta ★★★★★ I have known Lauren for a long time and she’s always been dedicated to her job! Excellent at anything she’s ever done.NICOLE GUASTONICOLE GUASTO ★★★★★ Lauren’s great- reliable empathetic the whole package - years of knowing her I wouldn’t ask for anyone elsejs_loader