Ohio Securities Attorneys

The securities attorneys, investment attorneys, and FINRA attorneys at Gana Weinstein LLP represent individuals and institutions in investment related FINRA arbitrations in Ohio. Our securities attorneys have represented clients from all over Columbus, Cleveland, Cincinnati, Toledo, Akron, Dayton, Parma, Canton, Youngstown and Lorain.

When we are first retained by defrauded investors, many of our clients do not understand whether their investment losses were cause of normal market forces or Wall Street misconduct. Our Ohio securities attorneys conduct a detailed forensic analysis to each client account to determine if they were victims of securities fraud, negligence, supervisory failures of their broker-dealer, victims of an unsuitable investment strategy, broker theft, or churning. Our approach is individually tailored to meet our clients’ needs and expectations. Our Ohio securities attorneys focus on creating the most cost-effective strategy to help you navigate FINRA arbitration.

Investors in Ohio are protected by a number of statutes, laws and regulations. The links below will help our clients understand the laws and regulators that govern the State of Ohio.

• Division of Securities ensures financial institutions comply with Ohio Securities Act and protects consumers and investors in financial matters. The Ohio Division of Securities handles and enforces the Ohio Securities Act. The Ohio Securities Act is the act that makes it unlawful for brokers to commit securities fraud in Ohio. The Division of Securities is also responsible for licenses broker-dealers, investment advisers, investment adviser representatives in the great state of Ohio. The Division of Securities has other roles as well including registering registers securities offered for sale to Ohioans. When Ohio securities law is violated, the Division of Securities can pursue civil and criminal actions. However, the role of the securities attorneys, investment attorneys and FINRA attorneys of Gana Weinstein LLP is to work along side the Division of Securities when necessary to help our clients maximize their recovery.
• Division of Consumer Protection The Consumer Protection Section is designed to protect Ohioans from illegal business practices with some emphasis on securities fraud. The Ohio Consumer Sales Practices Act give the Division of Consumer Protection the authority to enforce laws that prohibit unfair and deceptive practices including but not limited to: false advertising, shoddy workmanship, and failure to perform services or to deliver goods in the securities fraud context.
• The Ohio Securities Act is the securities fraud law in Ohio that protects Ohioans from illegal business practices. Specifically, the law prevents brokers, broker-dealers, investment advisers and registered investment advisory firms from engaging in any act, practice, or course of business that is fraudulent, deceptive, or manipulative. It is the job of the Division of Securities to adopt rules reasonably designed to prevent acts, practices, or courses of business that are fraudulent, deceptive, or manipulative.
>Ohio Securities Act relates to the oversight of securities transactions in the state.
• 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. The types of claims brought in FINRA arbitration are churning, unsuitable investment strategies, broker theft, failure to supervise and violation of the FINRA Rules. Our Ohio investment attorneys, FINRA attorneys and securities attorneys have represented over 1,000 investors in the FINRA forum.

Unfortunately, state securities regulators rarely reimburse investors as a result of an enforcement action. Hiring an investment attorney is advisable to maximize your chance of recovery.

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 from a broker or broker-dealer. Our FINRA attorneys, investment attorneys and securities attorneys have a wealth of experience helping clients recover money for all types of investment related claims in FINRA arbitration in Ohio and specifically in Columbus, Cleveland, Cincinnati, Toledo, Akron, Dayton, Parma, Canton, Youngstown, Lorain and around the United States. Our securities attorneys are here to help.