Florida Securities Arbitration & Litigation Lawyers
Gana LLP represents individuals and institutions involved in securities litigation within the state of Florida and in arbitration before the Financial Industry Regulatory Authority (FINRA). When clients first retain us, many of them have suffered substantial financial losses in their portfolios. Many clients have difficulty understanding where their funds have gone, how their broker allowed such losses to occur in the first place, and what their investments are currently worth.
Investors in Florida are protected by legislative laws and statutes together with industry rules that prohibit brokers from engaging in fraud, unsuitable sales, churning, unauthorized trading, failure to supervise, breach of fiduciary duty, or negligence. Below are useful links and resources covering some of the investor protections available in the State of Florida:
- Florida Division of Securities under the Florida Office of Financial Regulation regulates the sale of securities within the parameters of Florida law.
- Florida Consumer Protection Division of the Office of the Attorney General investigates and enforces violations in any trade or commerce.
- Florida Statue § 517 is a state law regulating the securities industry.
- 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.
Unfortunately, regulators are not responsible for reimbursing investment losses. By hiring an experienced securities attorney to pursue their claim, investors have the best chance to be compensated. The attorneys of Gana LLP dedicate themselves to helping clients determine if investment losses resulted from normal market forces or Wall Street misconduct. We apply a detailed and forensic approach to understanding your investment activity to explain those losses and apply the appropriate law to advance your claims.
In many cases, broker-dealers and investment advisers simply sell novel investment products in order to garner large commissions for them regardless of the investor's willingness to withstand the large losses. Some of our clients are sold novel and exotic investment products that are only appropriate for a small group of sophisticated investors willing to take excessive risk. In other cases, clients come to us with account statements and trading activity so voluminous and complex that the client cannot even tell how much money they have lost. Gana LLP may be able to help.
To learn more about potential claims and securities topics please visit our Securities Arbitration & Litigation page. Gana LLP represents investors in all major Florida cities including Jacksonville, Miami, Tampa, St. Petersburg, Orlando, Tallahassee, Fort Lauderdale, Pembroke Pines, Boca Raton and Port St. Lucie. Our consultations are free of charge and the firm is only compensated if you recover.