Have you been defrauded by your stockbroker or financial professional? If so, the securities attorneys of The White Law Group may be able to help.
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. Although The White Law Group’s main offices are in Chicago and Boca Raton, the firm’s managing partner, D. Daxton White, lives in Vero Beach and is available to meet with potential clients who schedule an appointment.
D. Daxton White is an AV rated attorney by Martindale Hubbell, the attorney rating service, indicating the highest rating for legal ability and ethics. He is a member of the Florida and Illinois Bar Associations. He is also a member of the Public Investors Arbitration Bar Association (PIABA), an association of securities attorneys who dedicate their practices to the representation of investors defrauded by their financial professional or brokerage firm.
Most of Mr. White’s clients are individuals who have been defrauded by their investment professional. Mr. White has handled over 400 FINRA arbitration cases, including handling claims against most of the FINRA registered broker-dealers. These cases have included claims for, among other things, unsuitability, fraud, theft, negligence, failure to supervise, and breach of fiduciary duty.
Brokerage firms are regulated by the Financial Industry Regulatory Authority (or FINRA). FINRA Rules govern brokerage firms and their interactions with their clients. Per FINRA Rules, broker-dealers have an obligation to be staffed with qualified financial professionals. Brokerage firms are also responsible for establishing sufficient compliance departments to monitor the conduct of the brokers they employ to insure that they are acting within FINRA Rules.
Additionally, if the fraud or negligence of a stockbroker results in a significant economic loss for an investor, the broker-dealer firm may be held liable for the actions of their broker in a FINRA arbitration claim.
Common types of FINRA claims include unauthorized trading, excessive trading (churning), negligence, misrepresentation, improper margin use, and unsuitability.
For a free consultation with a securities attorney, please call The White Law Group at 561-807-6804. For more information on The White Law Group, visit http://www.whitesecuritieslaw.com.
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