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

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Amber PalermoAmber Palermo
17:50 23 Dec 22
The professionalism and expertise of the TonaLaw team is unmatched. I’ve worked with Juliet and she was incredibly knowledgeable, friendly and I could tell that she cared about helping me. If you’re looking for a legal team that helps with you any problem, big or small, TonaLaw is a team you can trust.
Regan moriartyRegan moriarty
16:49 23 Dec 22
The TonaLaw team is full of wonderful and hardworking people. I have personally worked with Juliet and she is excellent. You can tell she truly cares about the work she is doing. Highly recommend.
Elizabeth MartinezElizabeth Martinez
15:42 16 Dec 22
I can not be thankful enough for the amazing experience Tonalaw has given me from the very beginning. If you are looking for a lawyer who truly cares about your case then TonaLaw is for you. The amount of time and dedication they put in a case really shows how above and beyond they go. Not to mention how sweet everyone is really makes it a pleasure to work with TonaLaw.
Beatrice CestaroBeatrice Cestaro
22:06 14 Dec 22
I am extremely satisfied and happy to have chosen Tonal Law . The whole experience was flawless And I had absolutely no issues throughout the entire process. Everyone was so helpful and on time with everything, answered any questions I had, and we’re always easily available if I had any concerns. I basically did not have to lift a finger or do absolutely anything at all but answer a few questions. I put my full trust into Tona Law and I’m happy I did so. Would for sure recommend to any of my family and friends.
Anita AbramsAnita Abrams
21:14 05 Dec 22
Tona Law was an absolute pleasure to work with. As a local ART and Custom Framing resource, we helped to enhance their new offices, with beautiful and sophisticated, well curated artwork. Tom and his team were closely involved in all of the selections, and the environment is warm and friendly, as a result. Everyone at Tona Law, is considerate and professional.
Dawn DemartinoDawn Demartino
16:25 11 May 22
From start to finish I was informed every step of the way of the status and updates of my case… the time and steps taken to resolve my case in the best possible outcome was just one of the many great things Tonalaw provided. Personal care and commitment is top notch. Thank you !!
Louis B.Louis B.
15:27 08 Apr 22
Over the last few years Tona Law has guided me through the process with clear communication throughout. They are truly a client advocate and will do everything in the best interest of the client. Cannot thank them enough for all their work done for me.
Richard WoolleyRichard Woolley
19:49 26 Mar 22
Tom Tona and his team are fantastic. They do a great job for their clients. Can't recommend them highly enough.
Stacy LofredoStacy Lofredo
23:41 24 Mar 22
Tona Law has simplified no fault medical billing in a way that allows staff to effortlessly navigate through what could be a confusing process. Their staff is knowledgeable and responsive that we never have to worry about the ever-changing regulations because they are on top of keeping up to date with any changes in keeping their clients informed which is priceless!
Ruben ReyesRuben Reyes
15:29 13 Aug 21
They responded right away and were very professional. Brittany Reyes was very helpful. Thank you for your help
Randy RodriguezRandy Rodriguez
03:24 09 Aug 21
Would highly recommend if anyone is seeking any legal advice!