Oklahoma Securities Arbitration Attorneys
Gana LLP specializes in securities litigation and arbitration around the nation and within the State of Oklahoma. In general, many investors lose money and fail to understand the cause of their losses. Some have questions about their accounts and want answers. Additionally, many investorss are disturbed that their broker recommended risky investments in the first place.
Securities misconduct comes in many different forms and no two cases are exactly alike. Sometimes, brokers buy and sell securities excessively for the purpose of generating commissions – this conduct is known as churning. Other times, brokers’ misrepresent the risks of securities. Often, brokers sell securities that are not suitable or appropriate for investors.
Oklahoma investors are protected by legislative statutes, both state and federal, but also by industry rules that prohibit brokers from engaging in unauthorized trading, fraud, churning, unsuitable recommendations, and other forms of misconduct. Below are useful links and resources covering some of the investor protections available in the State of Oklahoma.
The Oklahoma Securities Commission regulates securities in Oklahoma. The Securities Commission receives and process applications for registration or exemption of securities and takeovers in the State of Oklahoma.
FINRA is the entity that regulates all broker-dealers in the United States.
Our securities lawyers can help you determine if your investment losses were the result of corporate malfeasance. While many investors try to rely on regulators to return their funds, regulators often are unable to do so. In fact, a study suggests less than 13% of enforcement action proceeds go to investors. An investor’s best chance for recovery is to hire an attorney.
To learn more about securities topics please visit our Securities Arbitration & Litigation page. Gana LLP represents investors in all major cities across Oklahoma including Oklahoma City, Tulsa, Norman, Broken Arrow, Lawton, Edmond, Moore, Midwest City, Enid, Stillwater, Muskogee, Bartlesville and scores of other cities within the State of Oklahoma.