Indiana Securities Arbitration & Litigation Lawyers
Gana LLP specializes in complex commercial litigation and securities arbitration. The firm represents individuals and institutions involved in securities litigation within the State of Indiana and in arbitration proceedings before the Financial Industry Regulatory Authority (FINRA). When a client retains us, they have incurred insurmountable financial losses and cannot determine how their broker permitted their investments to dwindle away.
In the State of Indiana, legislative laws, statues and industry regulations protect investors from broker-dealer and investment advisers who engage in breach of fiduciary duty, churning, fraud, failure to supervise, unsuitable sales, unauthorized trading, or negligence. Below are useful links and resources covering some of the investor protections available in the State of Indiana:
- regulates the securities industry of Indiana by protecting consumers and investors from fraudulent activities by companies and individuals.
- Consumer Protection Division ensures consumers and business entities are protected from deceptive and fraudulent business practices.
- Indiana Uniform Securities Act more closely mirrors federal law and regulates the registration, offer, sale and other activities related to securities within and from the State of Indiana.
- 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.
While securities regulators ensure the enforcement of regulations, investors are rarely reimbursed as a result of an enforcement action. A study of 75 Securities and Exchange Commission (SEC) cases between 2002 through 2005 revealed that the SEC distributed around $60 million out of $4.8 billion it collected in civil fines and restitution in settlements with the companies during that period of time. The expertise of the attorneys at Gana LLP is the best chance for investors to be compensated. 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.
Most investors prefer investments with high returns and low risk, however investors should know that high returns usually means corresponding high risk. Broker-dealers harp on the investor's desire for high returns and simply sell novel investment products in order to garner large commissions for them regardless of the investor's willingness to withstand large losses. Some of our clients are sold investment products that are only appropriate for a small group of sophisticated investors willing to take excessive risk. Many times these indecipherable account statements are set up to cover up excessive trading activity and risk. Our years of experience within the securities industry allow us to correctly analyze the issues, risks and exposures for the investment portfolios.
To learn more about potential claims and securities topics please visit our Securities Arbitration & Litigation page. Gana LLP represents investors in all major Indiana cities including Indianapolis, Fort Wayne, Evansville, South Bend, Carmel, Bloomington, Fishers, Hammond, Gary and Munice. Our consultations are free of charge and the firm is only compensated if you recover.