Georgia Securities Arbitration Attorneys
The Georgia securities arbitration attorneys of Gana Weinstein LLP specialize in representing individuals and institutions involved in securities arbitrations within the state of Georgia and in arbitration proceedings before the Financial Industry Regulatory Authority (FINRA).
By the time clients first retain us, many of them have suffered insurmountable financial losses in their portfolios. Many clients have difficulty understanding where their funds have gone, how their broker permitted such losses to occur in the first place, and what their investments are currently worth. While most FINRA arbitrations in Georgia occurs in Atlanta, our Georgia securities and investment fraud attorneys represent investors in Augusta, Columbus, Savannah, Athens, Sandy Springs, Macon, Roswell, Albany and Johns Creek.
Our Georgia securities arbitration attorneys focus on FINRA arbitrations. Most of our claims relate to unsuitable investment strategies by brokers and investment professionals. We also specialize in cases of churning (excessive trading), securities fraud, failure to supervise and unauthorized trading.
Investors in Georgia are protected by legislative laws and statutes in conjunction 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 Georgia:
- Division of Securities and Business Regulation administers and enforces the Georgia Uniform Securities Act of 2008, while protecting consumers in various securities transactions. Specifically, Georgia’s Securities Division of the Secretary of State’s Office is tasked with the enforcement and implantation of the Georgia Uniform Securities Act of 2008. Georgia’s Securities Division registers securities offered, exchanged, or sold in Georgia, oversees firms and individuals selling securities or providing investment advice in Georgia. The Georgia Securities Division also enforces the Securities Act through civil, criminal and administrative proceedings. Finally, the Securities Division promotes investor education and financial literacy in its effort to expand investor protection throughout the state of Georgia.
- Governor’s Office of Consumer Protection protects consumers and businesses from unlawful, deceptive and unfair practices.
- Georgia Uniform Securities Act of 2008 deals with securities regulations designed to protect investors.
- 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.
Although Georgia is the 15th state to adopt a securities regulation based on Uniform Securities Act of 2002, state securities regulators rarely reimburse investors as a result of an enforcement action. By hiring an experienced securities and investment fraud attorney to pursue their claim, investors have the best chance to be compensated. The securities attorneys of Gana Weinstein LLP can help clients determine if investment losses were the result of normal market forces or misconduct by Wall Street. 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’ approach us with account statements containing voluminous and complex trading activity in which they are unable to determine the actual losses suffered. Many times, indecipherable account statements are set up to cover up excessive trading activity and risk.
To learn more about potential claims and securities topics please visit our Securities Arbitration & Litigation page. The securities arbitration attorneys of Gana Weinstein LLP represent investors in all major Georgia including Cabbagetown, Braselton, Suwanee, Milton, Peachtree City, Roswell Poncey-Highland, Vince City. Cascade Heights and Adair Park. Our consultations are free of charge and the firm is only compensated if you recover. Feel free to contact us to see if you have a claim.