Choosing the Right Securities Arbitration Attorney

When to Call a Securities Arbitration Attorney

Securities arbitration attorneys, sometimes referred to as investment attorneys, FINRA attorneys, or securities attorneys, should be contacted whenever an investor believes he or she has been a victim of broker misconduct. An investor may have cause to retain a securities fraud attorney to file a lawsuit or arbitration claim if his or her broker failed to create a suitable investment strategy. An investor may also want to contact an attorney case if a broker  made false or misleading statements about a security or omitted negative information about the risk of a security in order to persuade the investor to invest.

An investor may also want to seek legal counsel the investor’s broker bought or sold securities without prior consent (unauthorized trading) or excessively traded securities for the purpose generating commissions (churning).

Once an Investor Decides an Attorney, is Needed What is the Next Step? 

The next step is to start researching the right attorney. You will want an attorney who handles a lot of FINRA disputes. Ask the attorney for a free initial consultation before signing a retainer agreement. Also determine if you want to pay an hourly rate or a contingency fee because. depending on the case, both types of compensation structures may be available. Once an attorney is vetted and retained, you should work closely with the attorney to collect documents to prepare a statement of claim to commence an action.

What Happens Once A FINRA Action is Commenced? 

Once the action is commenced you will be asked to help facilitate the production of documents and a hearing will be set. You will have to testify at the hearing if the case is not resolved prior to the scheduled hearing date.

The securities arbitration attorneys of Gana LLP, represent all types of investors who have experienced financial losses caused by broker and brokerage firm misconduct. Our team takes on cases involving suitability, fraudulent omissions and representations, unauthorized trading, churning and negligence, to name a few. If you have been the victim of stockbroker fraud or any of these investment securities violations and are seeking a competent lawyer to represent you, look no further.

Widely known and highly respected, the attorneys at Gana Weinstein LLP have handled hundreds of securities cases and have recovered millions of dollars in settlements and awards for victims of stock broker fraud and misconduct. If you or someone you know believes they have been a victim of financial misconduct contact us and we will have our team forensically analyze your account to determine whether you have a claim.


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