Missouri Securities Attorneys
The Missouri securities attorneys at Gana Weinstein LLP specialize in securities arbitration within the State of Missouri and in arbitration proceedings before the Financial Industry Regulatory Authority (FINRA). The Missouri securities attorneys at Gana Weinstein LLP have successfully resolved over one thousand securities arbitrations through verdict or settlement through FINRA making us some of the most experienced securities arbitration attorneys. The Missouri securities attorneys at Gana Weinstein LLP represent investors in all areas of Missouri including cities including Kansas City, St. Louis, Springfield, Independence, Columbia, Lee’s Summit, O’Fallon, St. Joseph, St. Charles and St. Peters.
By the time clients first retain us, many of them have suffered extensive financial losses in their portfolios. Many clients cannot determine where their funds have gone, how their broker permitted such losses to occur in the first place, and what their investments are currently worth. Our Missouri securities attorneys focus extensively on cases of unsuitable investment strategies, churning or excessive trading, a broker-dealer’s failure to supervise its employees, broker theft or conversion, and unauthorized trading.
Investors in Missouri are not only protected by legislative law and statutes, but also with industry rules that prohibit brokers from engaging in fraud, churning, breach of fiduciary duty, unauthorized trading, failure to supervise, unsuitable sales, or negligence. Below are useful links and resources covering some of the investor protections available in the State of Missouri:
- Missouri Securities Division protects investors from fraud and ensures that investors and firms sell securities that comply with state securities law. The Missouri Securities Division is generally split into three distinct divisions: The first is Investor Education. This division seeks to prevent and reduce investor harm by educating investors about the risks of investing and also educates investors on the Vulnerable Citizens Services Unit (VCSU). The second division is the registration division which seeks to make sure that investment professionals are compliant with securities laws and foster capital formation through the review of securities offerings. Finally, the Enforcement division receives receiving complaints, tips, and referrals. The Securities Division seeks to serve all Missourians from investors to investment professionals.
- Consumer Protection Division prohibits deceptive and unfair practices in the State of Missouri, while ensuring consumers and business entities rights are protected against fraud.
- Missouri Uniform Securities Act more closely mirrors federal law and regulates the registration, offer, sale and other activities related to securities within the State of Missouri.
- 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 investors are protected against fraudulent securities activities by state regulators, investors are rarely reimbursed as a result of an enforcement action. By hiring an experienced securities attorney to pursue their claim, investors have the best chance to be compensated. The attorneys of Gana Weinstein LLP can help clients determine if investment losses were the result of normal market forces or misconduct by Wall Street.
A client’s financial losses stem from many sources. In some instances, broker-dealers and investment advisers sell novel investment products in order to garner large commissions for them regardless of the investor’s risk tolerance. 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 these indecipherable account statements are set up to cover up excessive trading activity and risk. 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.
To learn more about potential claims and securities topics please visit our Securities Arbitration & Litigation page. Our Missouri securities attorneys represent investors throughout the state including St. Louis, Kansas City, Ladue, Glendale, Eureka, Dardenne, Des Peres, Parkville, Weldon Spring, Crever Coeur, and Sunset Hills. Our consultations are free of charge and the firm is only compensated if you recover.