Maine Securities Arbitration & Litigation Lawyers
The attorneys of Gana LLP specialize in securities litigation and arbitration around the nation and within the State of Maine.
Securities arbitration and litigation is a special area of law that requires a unique understanding of the complicated laws to properly navigate investors’ rights. Generally, many investors lose money and fail to understand the cause of their losses. Many investors have unanswered questions about loses in their accounts and want answers. In addition, many clients are disturbed by the fact that their investors recommended particularly risky investments in the first place.
Securities misconduct is always unique. Sometimes, brokers buy and sell securities excessively for the purpose of generating commissions – this conduct is known as churning. Other times, brokers’ misrepresent the risks of securities. Often, brokers sell securities that are unsuitable or inappropriate for investors.
Maine investors are protected by federal and state law and also by industry rules that prohibit brokers from engaging in churning, unauthorized trading, fraud, unsuitable sales, and other forms of misconduct. Below are useful links and resources covering some of the investor protections available in the State of Maine:
Maine’s Office of Securities regulates securities in Maine. The Office of Securities protects Maine investors by investigating and prosecuting violations of the securities laws; licensing broker-dealers, agents, investment advisers, and investment adviser representatives; and reviewing registration statements and exemption filings for securities issuers that are seeking to sell in Maine.
FINRA - regulates and overseas all broker-dealers in the United States. FINRA, in conjunction with the Securities and Exchange Commission (SEC) also creates and enforces the securities laws. However, private attorneys, like the attorneys at Gana LLP, help investors attempt to recover investor money through private arbitration and litigation.
The securities attorneys at Gana LLP can help you determine if your investment losses were the result of normal market forces or misconduct by Wall Street. We apply a detailed forensic approach to understanding your investments and apply the appropriate law to advance your causes.
Gana LLP represents investors in all major cities across Maine including Portland, Lewiston, Bangor, South Portland, Auburn and many other cities within the State of Maine. To learn more about securities topics please visit our Securities Arbitration & Litigation page.