Arizona Securities Litigation Attorneys

Gana LLP represents clients involved in securities litigation and arbitration within the State of Arizona. Many claims are brought against brokers, financial advisers and broker-dealers through Financial Industry Regulatory Authority (FINRA). By the time clients seek our legal representation, they have already seen their investments lose a significant part of their value. Most investors cannot discern how they lost that money or why their trusted advisor did nothing to prevent the value of their portfolio from diminishing so greatly.

Investors in Arizona are protected by various laws, statutory regulations and industry rules that are intended to keep financial professionals from participating in fraudulent activity, the unsuitable sale of securities, churning and unauthorized trading of securities. Below are some links and resources covering some of the investor protections available in the State of Arizona:

  • Arizona Securities Division strives to preserve the integrity of the financial marketplace through registration, oversight and investigative actions of securities, broker-dealers, investment advisers and their representatives.
  • Consumer Protection Division within the Arizona Attorney General’s office attempts to protect consumers and business entities from any deceptive practices, false statements and misrepresentation.
  • Arizona Securities Act governs the registration, offer or sale of securities within or from Arizona.
  • FINRA oversees and regulates all broker-dealers in the United States. FINRA, in conjunction with the Securities and Exchange Commission (SEC) also creates and enforces the securities laws.

It is important to remember that investors are rarely compensated by state securities regulators as a result of an enforcement action. The best chance of recovery requires direct action by the investor with the legal expertise of a trained securities attorney. The experienced team of lawyers at Gana LLP can help clients assess their financial losses and distinguish those caused by ordinary market movement from those caused by misconduct. We apply a well thought out approach to understanding your investment activity to explain those losses and apply the appropriate law to advance your claims.

To learn more about potential claims and securities topics please visit our Securities Arbitration & Litigation page. Gana LLP represents investors in all major Arizona cities including Phoenix, Tucson, Mesa, Chandler, Glendale, Scottsdale, Gilbert, Tempe, Peoria, and Surprise.