Oregon Securities Arbitration Attorneys
The Oregon securities arbitration attorneys of Gana Weinstein LLP specialize in securities arbitrations within the state of Oregon. While our practice is national, our Oregon securities attorneys help people in the state Orgeon throughout the state including in in all major cities including Portland, Eugene, Salem, Gresham, Hillsboro, Beaverton, Bend, Medford, Springfield, and Corvallis.
When clients first contact our firm about a potential securities matter many of them have already suffered substantial financial losses. Many clients have unanswered questions about their accounts and do not know how or why they lost money. In addition, many clients are dismayed that their broker recommended such risky and speculative investments in the first place.
Securities misconduct comes in many different forms and no two cases are exactly alike. Many of the claims or Oregon securities attorneys see are the sale of unsuitable investment recommendations, churning or excessive trading, unauthorized trading, broker theft or conversion, and failure to supervise. Our Oregon securities attorneys see these types of claims related to all sorts of products. For example, our Oregon securities attorneys have seen a lot of cases related to alternative investments, exchanged traded funds, real estate investment trusts or REITs, Ponzi schemes, penny stocks and private placements.
Sometimes novel investment products are sold so that the broker can change a large commission for the sale regardless of the investor's willingness or ability to withstand risk. In other cases, clients provide us with voluminous account statements with trading activity so complex that a detailed accounting is necessary just to determine how much money has been lost. In some cases, clients are relying on representations concerning the recommended investments that turn out to be completely untrue.
Investors in Oregon are protected not only by legislative statutes, both state and federal, but also by industry rules that prohibit brokers from engaging in churning, unauthorized trading, fraud, unsuitable sales, and other forms of misconduct. Below are useful links and resources covering some of the investor protections available in the State of Oregon.
- Oregon Division of Finance and Corporate Securities (DFCS) - regulates securities in Oregon. The Division is Oregon’s largest regulatory and consumer protection agency with the mission is to encourage securities businesses in a safe, sound, equitable, and fraud-free manner.
- Oregon Department of Justice – Consumer Protection - protects individuals and institutions from unfair, false, and deceptive acts in the trade of commerce. The Justice Department is designed to help enforce the fraud laws in the state of Oregon.
- FINRA - regulates and overseas all broker-dealers in the United States. FINRA, in conjunction with the Securities and Exchange Commission (SEC) also creates and enforces the securities laws. FINRA is where your securities arbitration is required to be filed and adjudicated. Our Oregon securities attorneys have deep and extensive experience bringing claims through FINRA arbitration and can help you navigate the process, bring your claims, aggressively pursue your claims and help resolve your claim through the FINRA forum.
Our Oregon securities attorneys can help you determine if your investment losses were the result of normal market forces or misconduct by Wall Street. We apply a detailed forensic approach to understanding your investments and apply the appropriate law to advance your case.
Many clients attempt to rely on regulators to return their funds. However, investors are rarely reimbursed by securities regulators as a result of enforcement actions against brokerage firms. A study of seventy-five SEC cases revealed that the SEC only distributed 13% of enforcement action proceeds to investors. An investor’s best chance for recovery is to hire an attorney to pursue a claim on their behalf.
To learn more about securities topics please visit our Securities Arbitration page. The Oregon securities attorneys at Gana Weinstein LLP represent investors in all major Oregon cities including Portland, Eugene, Salem, Gresham, Hillsboro, Beaverton, Bend, Medford, Springfield, and Corvallis. Our consultations are free of charge and the firm is only compensated if you recover.