New York Securities Arbitration & Litigation Lawyers
Unfortunately, by the time clients retain our law firm they have suffered significant financial losses. Many clients do not know where their investments have gone or how their broker recommended them to invest in the first place.
Investors in New York are protected by legislative laws and statutes together with industry rules that prohibit brokers from violating the securities laws though unsuitable sales, fraud, churning, or unauthorized trading. Below are useful links and resources covering some of the investor protections available in the State of New York:
- Investor Protection Bureau enforces New York securities law and protects the public from fraud by requiring brokers, dealers and investments advisers to register with the Attorney General’s Office.
- New York Consumer Protection Division protects consumers and businesses from unfair and deceptive practices.
- The Martin Act gives the Attorney General broad law enforcement powers to investigate fraud in an offer, purchase or sale of securities, which protects investors from illegal activity.
- 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 states securities regulators thoroughly investigate securities fraud, investors are rarely reimbursed as a result of an enforcement action. The best chance for investors to be compensated is to hire an experienced securities attorney to pursue their claim. No matter the type of dispute, the attorneys at Gana LLP can help clients determine whether their investment losses were the result of normal market forces or misconduct by Wall Street.
The New York securities fraud attorneys at Gana LLP have successfully resolved hundreds of arbitration proceedings before the Financial Industry Regulatory Authority (FINRA). To learn more about potential claims and securities topics please visit our Securities Arbitration & Litigation page. Gana LLP represents investors in all major New York cities including New York, Buffalo, Rochester, Yonkers, Syracuse, Albany, New Rochelle, Mount Vernon, White Plains and Long Beach. Our consultations are free of charge and the firm is only compensated if you recover.