Securities Fraud Attorneys Fighting for Investors Nationwide

More Than $55 Million Recovered for Investors: Representing Clients in All 50 States

Backed by years of experience in FINRA arbitration and a national reputation for ethical, results-driven representation, The White Law Group has handled 800+ cases on behalf of harmed investors.

Investment Losses? Contact Us Now for a Free Consultation.

No fees unless we recover your losses.

Your financial future deserves strong, experienced representation.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in all 50 states with claims against their financial professional or brokerage firm. Since our securities fraud attorneys launched this law firm in 2010, it has handled over 800 FINRA arbitration cases nationwide. With over 30 years of practice, the securities arbitration attorneys at The White Law Group have recovered over $50 million on behalf of investors since 2010.

Locations

Chicago

125 S Wacker Drive, Suite 300
Chicago, IL 60606
Phone: (312) 238-9650

Seattle

450 Alaskan Way S., Suite 200
Seattle, WA 98104
Phone: (888) 637-5510

Do I Need a Securities Fraud Attorney?

Securities Fraud Red Flags

Securities fraud is the abuse of your investment portfolio by your financial advisor and/or broker-dealer. It may include excessive trading (churning), overconcentration, and the sale of unsuitable investments (non-traded REITs, oil and gas limited partnerships, annuities, Unit Investment Trusts).

Significant investment losses do not necessarily prove broker wrongdoing—they could result from market forces. It can be difficult or almost impossible to tell if you’ve been defrauded unless you consult with an experienced securities fraud attorney. If you are concerned about investment losses due to broker misconduct or negligence, our securities arbitration attorneys can help.

The White Law Group in the Media

Investment Losses?

If you’ve experienced unexpected financial losses, don’t assume it’s just market volatility. Many investors unknowingly fall victim to broker negligence, misrepresentation, or blatant fraud. Speaking with FINRA attorneys at The White Law Group can make a difference during these times. Our experienced FINRA lawyers are ready to analyze account statements, explain your legal options, and hold a broker responsible for their actions.

Contact our securities fraud attorneys now for a free consultation!

Why Hire the White Law Group?

$50M+

Recovered for Investors

30+ Years

of Securities Law Experience

800

FINRA Arbitration Cases

50 States

Representing Investors

5-Star AVVO Attorney Rating

Contingency Based Fees

Free
Consultation

PIABA
Attorneys

FINRA
Attorneys

I had a very good experience. I was treated very well by The White Law Group and his legal assistant William. The office is extremely thorough, professional and easy to communicate with. Throughout the process of my case, their in depth knowledge of the law and professionalism executing the law was encouraging. My overall experience with the firm was that they are extremely, professional and advocates for those needing help. I would highly recommend this law firm to family and friends

This is a responsive and knowledgeable law firm who listens to their clients and pursues reason over emotion. Kudos to you!

I am a retired lawyer, after some 35 years in practice. My wife and I needed help with a securities matter and connected with Mr. White. Long story short, he accurately analyzed the case and got a very good result for us. I admired his approach and tactics. Highly recommended.

Dax White and Mike Kennedy were able to help me unwind, and then resolve a longstanding dispute I had with a brokerage firm. Their experience in dealing with securities issues was apparent. I gained confidence in their abilities in short order. Very pleased. Highly recommend them. Thanks!

Can I Sue My Broker?

We fight to recover your losses when brokers lie, mislead, or abuse your trust in the markets.

Our Main
Practice Areas

Securities Employment Attorneys

We defend financial advisors and brokers, protecting careers and rights in FINRA-employment disputes.

Can I Sue My Broker?

If you suffered investment losses due to broker misconduct or fraud, you may be able to sue your broker. You begin this process by filing a securities fraud lawsuit, or more commonly, a FINRA arbitration claim. If you ever find yourself in such a situation, a securities fraud attorney can help.

Virtually every brokerage firm in the country includes an “Arbitration Provision” on the forms you sign on the day you open your account, often in fine print. Generally, this provision provides that if you dispute your account, including any claim for damages or losses, you waive your right to go to court and further agree to arbitrate your disagreement before either FINRA or one of the exchanges, like the NYSE. Working with a skilled FINRA lawyer who understands securities fraud can be crucial in these cases.

FINRA, the self-regulator that oversees brokers and brokerage firms, operates the largest dispute resolution forum in the securities industry. Securities fraud attorneys can aid you as you navigate the dispute resolution process to maximize your chances of recovering your losses.

Why FINRA Arbitration Might Be Your Answer

The good news is that FINRA arbitration is generally faster and less costly than court litigation. Most arbitration panels are composed of three members. At the final hearing, after presenting your case and the defense has presented its case, the arbitration panel will decide if you are entitled to any recovery, and if so, how much.

Being unsure of how to begin and continue the arbitration process is understandable. The securities fraud attorneys at The White Law Group are ready to help.

Many securities cases do settle. Sometimes, the parties agree to mediate their dispute before the arbitration hearing. Mediation is a voluntary process utilizing the services of an independent third party who attempts to facilitate a settlement between the parties by analyzing the strengths and weaknesses of the respective parties’ cases and offering their opinion on the eventual outcome at arbitration.

Hiring a knowledgeable securities arbitration attorney can make a significant difference if you need guidance navigating complex financial disputes. At The White Law Group, our stellar team includes highly experienced FINRA attorneys who focus on protecting investors’ rights.

Meet Our Team of Securities Fraud Attorneys

D. Daxton White

Managing Partner

Michael D. Kennedy

Partner

Practice Areas

Practice Areas (Common Securities Claims)

Selling Away

Elder Financial Exploitation

Margin Trading

Broker Negligence

Unsuitable Investments

Misrepresentation

Excessive Trading/Churning

Ponzi Schemes

Unauthorized Trading

Complex Investments

Have you suffered losses investing in the following? Contact the securities arbitration attorneys at The White Law Group.

Non-traded REITs

Structured Products

Business Development Companies BDCs

Private Placement Investments under REG D

Oil and Gas Drilling Programs

1031 DSTs Delaware Statutory Trust

Frequently Asked Questions

What Are the Main Types of Securities Fraud?

Securities fraud constitutes any deceptive practice to mislead investors and financially harm them. This type of fraud can occur in many ways, including Ponzi schemes, churning, or providing unsuitable investment recommendations. If any of the previously listed situations happen to you, contact an investment fraud lawyer immediately.

What Does a Securities Law Expert Do?

Otherwise known as a financial fraud attorney, this legal professional typically represents investors after they suffer economic losses due to a broker or advisor’s misconduct. Contacting a law firm that provides legal services for stock fraud can help you gather evidence, form a strong case, and negotiate on your behalf.

What Are the Consequences of Securities Fraud?

This type of fraud can incur a range of severe penalties. A broker or advisor guilty of securities fraud may face regulatory, civil, and criminal consequences. Disciplinary action from FINRA can include an advisor having their license suspended or revoked. Do you need legal help for stock fraud? Contact The White Law Group to speak with an investor fraud attorney.

What is FINRA arbitration, and how does it help investors recover losses?

FINRA arbitration is a legal process used to resolve disputes between investors and brokerage firms or financial advisors. Instead of going to court, claims are decided by neutral arbitrators through the Financial Industry Regulatory Authority. This process is often faster and more cost-effective, and it is the primary way investors pursue recovery for losses caused by broker misconduct, unsuitable recommendations, or misrepresentation.

Do I have to go through FINRA arbitration to recover investment losses?

In most cases, yes. Many brokerage account agreements require disputes to be resolved through FINRA arbitration rather than traditional court litigation. This means that if your losses are tied to a broker or brokerage firm, arbitration is typically the required path to seek financial recovery.

How long do I have to file a FINRA arbitration claim?

FINRA generally requires claims to be filed within six years of the event that caused the loss. However, certain circumstances may affect this timeline. Speaking with a securities attorney as soon as possible can help ensure you don’t miss important deadlines that could impact your ability to recover losses.

What types of broker misconduct can lead to a FINRA claim?

Common forms of broker misconduct include unsuitable investment recommendations, excessive trading (churning), unauthorized trading, failure to disclose risks, and misrepresentation of investment products. If your financial advisor’s actions didn’t align with your goals or risk tolerance, you may have grounds for a claim.

What is considered an “unsuitable investment”?

An unsuitable investment is one that does not match your financial situation, investment objectives, or risk tolerance. Brokers are required to recommend investments that are appropriate for each client. If you were placed into high-risk or complex products without proper consideration or explanation, it may be considered unsuitable.

Can I still file a claim if I signed documents or approved the investments?

Yes. Even if you signed account documents or approved transactions, brokers still have a duty to act in your best interest and provide suitable recommendations. Many investors are unaware of the risks involved at the time, and signing paperwork does not eliminate potential liability for misconduct.

How much does it cost to file a FINRA arbitration claim?

The White Law Group handles cases on a contingency fee basis, meaning you do not pay upfront legal fees. Fees are only collected if your case results in a recovery. There may be filing or administrative costs associated with arbitration, but these are typically discussed during your consultation.

What types of investments are commonly involved in FINRA arbitration claims?

Claims often involve complex or high-risk investment products such as non-traded REITs, private placements, variable annuities, structured products, and alternative investments. These products can carry significant risks that are not always fully explained to investors.

What evidence is needed to support a FINRA arbitration case?

Key evidence may include account statements, trade confirmations, emails or communications with your broker, and notes about your investment goals. Even if you don’t have all the documentation, an attorney can help gather the necessary records to evaluate your claim.

How long does the FINRA arbitration process take?

Most FINRA arbitration cases take between 12 to 18 months from filing to resolution, though timelines can vary depending on the complexity of the case. While it may take time, arbitration is generally more efficient than traditional court proceedings.

Will I have to travel or appear in person for arbitration?

Not always. Many parts of the arbitration process can be handled remotely, and your legal team will guide you through each step. If a hearing is required, your attorney will help prepare you and minimize any disruption as much as possible.

What is the difference between FINRA arbitration and mediation?

FINRA arbitration results in a binding decision made by arbitrators, while mediation is a voluntary process where both parties attempt to reach a settlement with the help of a neutral mediator. Some cases may go through mediation before or during arbitration.

Can I recover losses if my broker’s firm has already been fined or investigated?

Yes. Regulatory actions do not automatically compensate investors. Even if a brokerage firm has been fined or disciplined, you may still need to file a FINRA arbitration claim to pursue recovery for your individual losses.

How do I know if I have a valid FINRA arbitration case?

If you experienced significant investment losses and believe your broker acted improperly, you may have a valid claim. A consultation can help determine whether misconduct occurred and what recovery options may be available.

What should I do if I suspect my financial advisor caused my losses?

Start by gathering your account documents and avoiding further risky transactions. Then, speak with a securities attorney to review your situation. Early evaluation can help preserve your claim and clarify your next steps.

Investment losses? Contact The White Law Group today for a free consultation and learn your recovery options.

Here Are Signs It’s Time to Contact Securities Fraud Attorneys:

Your broker fails to return your calls.

You don’t understand the transactions on your statements.

Your broker fails to disclose important information regarding an investment purchase.

Your broker begins trading in high-risk and speculative investments.

You pay capital gains taxes when your account value decreases.

You find transactions on your account statements that you did not previously authorize.

As a guideline, if you are retired and have lost more than 15% of your account in a single year or have suffered significant losses in a single security, you should have someone review your account to determine if the investments selected by your financial professional are in keeping with your investment objectives.