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
- Financial advisors
- Financial planners
- Registered investment advisor firms
- Insurance companies
- VC firms
- 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:
- 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.