New Jersey Securities Attorneys
The New Jersey securities and investment attorneys at Gana Weinstein LLP represent investors, both individual and institutional, in securities arbitrations in FINRA throughout the state of New Jersey.
When clients first contact our firm, many investors sophisticated or otherwise, they generally do not understand the cause of their losses or even how much money they actually lost. Investing in the twenty-first century has proven to be highly complex and difficult for our clients. Our clients need sophisticated securities arbitration attorneys to help them understand the intricacies of their accounts and broker malfeasance.
The securities arbitration and investment attorneys at Gana Weinstein LLP take a detailed analytical approach to determining how and why our clients lost money and the root cause of those investment losses. Our securities attorneys utilize that information to legally conclude whether our clients have been victims of securities fraud, negligent conduct, or industry violations including suitability or supervisory misconduct.
In some cases, investment advisers and broker-dealers simply sell novel investment products in order to garner commissions. In other cases, brokers sell high risk investments without disclosing the risk.
Our securities attorneys focus on very specific areas of broker misconduct. Specifically, our securities attorneys bring claims related to churning (excessive trading for the purpose of generating commissions for the broker), suitability (the requirement that brokers buy securities for their clients that are appropriate for them), broker theft or broker conversion, sales practice violations of FINRA rules, unauthorized securities trading, and supervisory issues with brokers.
Investors in New Jersey are protected by federal law, New jersey state law and industry rules and regulations. Below are some useful resources in the State of New Jersey:
- New Jersey Bureau of Securities is the State's Regulatory Agency. Investors can contact the Bureau for information regarding registration, exemption filing and to file complaints.
- The Division of Consumer Affairs is within the New Jersey Office of the Attorney General which protects New Jersey consumer and business entities. The New Jersey Bureau of Securities is responsible for protecting New Jersey investors from Investment fraud and generally regulating New Jersey’s securities industry
- The New Jersey Uniform Securities Law and Regulations contain statutes for registration requirements and anti-fraud provisions.
- 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. At the federal level the Securities Exchange Act of 1934 created the SEC. The Exchange Act, as it is colloquially referred to, provides for private individuals to bring suits against those that commit securities fraud. Specifically, an investor/plaintiff who brings claims under the Exchange Act must show that a broker or broker-dealer intentionally made material misrepresentations or omitted material information in the sale, purchase or exchange of a security and that misrepresentation or omission cause the investor/plaintiff a loss or damage.
While investing always carries some risk, investors should not have to worry about securities fraud and broker misconduct. At Gana Weinstein LLP we have securities arbitration professionals in the state of New Jersey and we can help determine whether you have been a victim of improper investment allocation strategies, securities fraud or other illegal securities conduct.
To learn more about potential claims and securities topics please visit our Securities Arbitration page. Our consultations are free of charge and the firm is only compensated if you recover money.
Our securities attorneys represent investors in all major New Jersey cities including Newark, Jersey City, Montclair, Paterson, Elizabeth, Edison, Hamilton, Woodbridge Township, Clifton and Cherry Hill. Our securities attorneys also represent individual and institutional investors in multiple townships and counties including Tenafly, Warren county, Milburn in Essex county, Somerset county, Chatham, West Windsor in Mercer county, Colts Neck, Glen Rock, Ridgewood and Westfield. Our securities arbitration attorneys are located in New Jersey and are ready to meet you at any time. Feel free to give us a call at 800-810-4262 or email us at email@example.com for more information.