Securities Practice Overview
The White Law Group, LLC is a Boca Raton, Florida and Chicago, Illinois law firm which is dedicated to helping people in financial distress. The Firm has the knowledge and skills necessary to protect investors’ rights in securities cases filed with FINRA (formerly the National Association of Securities Dealers, the NASD), the New York Stock Exchange (NYSE), the American Arbitration Association (AAA), and the National Futures Association (NFA).
Brokerage firms 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 to insure that they are acting within FINRA Rules. 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.
We thoroughly investigate claims involving stock fraud, broker misrepresentation, churning, unsuitable investments, unauthorized transfers, disappearing funds, and botched transfers, among many others.
The White Law Group provides investors with a degree of service that you would expect to receive from a large firm, while still offering a level of individual attention hallmark of a family-style boutique law firm. Our clients are important to us and we work hard to help our clients recover money they lost as a result of the negligence of their financial advisor or investment firm.
Frequently Asked Questions
- I think I may be the victim of securities fraud, what do I do now?
- How do I know if I have been defrauded or am a victim of Stockbroker Fraud?
- What is investment fraud?
- What types of things can’t a broker do?
- What are the duties that my stockbroker and brokerage firm owe to me as a customer?
- What about meeting with the broker and/or manager of the office to resolve my problem?
- How do you decide which cases to pursue?
- How much will it cost me?
- Should I hire an attorney?
- Does it matter when I made the investment?
- What is arbitration?
- Do cases ever settle before arbitration?
- What is mediation?
- How long does the arbitration process take?
- Was investing in a variable annuity suitable for you?
- Was investing in B share mutual funds suitable for you?
- Where do I file my case if I live outside the United States?
- What are my chances of “winning” in arbitration?
- What is “selling away” and can my brokerage firm be held liable for my financial advisor selling me an investment not approved by my brokerage firm?
- What is a Unit Investment Trust and was my investment in a Unit Investment Trust suitable for me?
Our Firm handles cases against any broker-dealer in the securities industry. Click here for a broker-dealer list.
Common Securities Claims
Our Firm represents investors who have been harmed by stockbroker and broker-dealer fraud and misconduct. Click here for common types of securities claims we see.