Maryland Securities Litigation Attorneys

Gana LLP represents individuals and institutions in securities litigations in the State of Maryland and in arbitration before the Financial Industry Regulatory Authority (FINRA). By the time clients first retain us, many of them have suffered substantial financial losses in their portfolios. Many clients cannot decipher how their broker permitted such losses, where their funds have gone, and what is the current value of their investment.

No matter the type of dispute, our attorneys strive to understand our client’s needs and concerns. In many cases, broker-dealers and investment advisers sell novel investment products that garnish them with large commissions without considering the investor’s willingness to withstand the large losses. Far too often brokers do not understand the risk of the investments recommended to their clients or place large bets on unsuitable strategies. 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. 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.

Investors in Maryland are not only protected by legislative laws and statutes, but also industry regulations that prohibit brokers from engaging in fraud, self-dealing, breach of fiduciary duty, unsuitable sales, registration violations, churning, unauthorized trading, failure to supervise, or negligence. Below are useful links and resources covering some of the investor protections available in the State of Maryland.

  • Maryland Securities Division protects investors from investment fraud and misrepresentation.
  • Consumer Protection Division not only provides information about complaints filed against a business, but also assists consumers in mediation services to help resolve consumer complaints against a business.
  • Maryland Securities Act contains registration, offer, sale and other activities related to the securities marketplace.
  • 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, state securities regulators rarely reimburse investors as a result of an enforcement action. For investors to be compensated their best chance is to hire an experienced securities attorney to pursue their claim. The attorneys of Gana LLP can help clients determine if investment losses were the result of normal market forces or misconduct by Wall Street.

To learn more about potential claims and securities topics please visit our Securities Arbitration & Litigation page. Gana LLP represents investors in all major Maryland cities including Baltimore, Frederick, Rockville, Gaithersburg, Bowie, Hagerstown, Annapolis, College Park, Salisbury and Laurel. Our consultations are free of charge and the firm is only compensated if you recover.