Washington Securities Litigation Attorneys

Gana LLP represents individuals and institutions involved in securities litigation within the State of Washington and in arbitration proceedings before the Financial Industry Regulatory Authority (FINRA). By the time clients first retain us, many of them have suffered insurmountable financial losses in their portfolios. Many clients cannot discern where their funds have gone, how their broker permitted such losses to occur in the first place, and what their investments are currently worth.

Investors in Washington are protected by legislative laws and statutes in conjunction with industry rules that prohibit brokers from engaging in fraud, unsuitable sales, churning, unauthorized trading, failure to supervise, breach of fiduciary duty, or negligence. Below are useful links and resources covering some of the investor protections available in the State of Washington:

  • Division of Securities protects consumers and business entities from fraudulent activities, while promoting consumer confidence in the capital markets.
  • Consumer Protection Division within the Attorney General’s office enforces statutes and regulations to keep the marketplace free from unfair and deceptive practices.
  • Securities Act of Washington regulates the offer, sale or purchase of any security within the capital markets.
  • 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.

Unfortunately investors are rarely reimbursed by state securities regulators as a result of an enforcement action. By hiring an experienced securities attorney to pursue their claim, investors have the best chance to be compensated. The attorneys of Gana LLP can aid clients determine if investment losses were the result of normal market forces or misconduct by Wall Street. We apply a detailed and forensic approach to understanding your investment activity to explain those losses and apply the appropriate law to advance your claims.

In many cases, broker-dealers and investment advisers simply sell novel investment products in order to garner large commissions for them regardless of the investor’s willingness to withstand the large losses. Some of our clients are sold novel and exotic investment products that are only appropriate for a small group of sophisticated investors willing to take excessive risk. In other cases, clients’ approach us with account statements containing voluminous and complex trading activity in which they are unable to determine the actual losses suffered. Many times these indecipherable account statements are set up to cover up excessive trading activity and risk.

To learn more about potential claims and securities topics please visit our Securities Arbitration & Litigation page. Gana LLP represents investors in all major Washington cities including Seattle, Spokane, Tacoma, Vancouver, Bellevue, Kent, Everett, Renton, Yakima and Federal Way. Our consultations are free of charge and the firm is only compensated if you recover.

Client Reviews
★★★★★
"Adam is a superior litigator who competently balances his legal skill set with a pragmatic focus on the end goal. I recommend him and his firm highly."
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"Adam is an outstanding lawyer. I have worked on several cases with Adam and look forward to working with him again in the future." Rob D. - Co-Counsel.
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"If you want an attorney that is easy to talk to and genuinely cares about your legal situation, contact Adam Gana. He helped me settle a difficult contract dispute. When you work with Adam, he makes you feel as if you are his top priority. He will call you regularly to stay on top of the situation and submits all necessary legal documentation in a timely manner. His writing is excellent, his demeanor professional, and his work exceptional." Nancy N.
★★★★★
Adam helped me recover money from my broker when I thought all was lost. My house was about to be foreclosed, and I lost everything. Adam came in and saved my life. Jean C.
★★★★★
Gana LLP has the best attorneys period. They work hard, they work fast and I would recommend them to anyone. They are like family. Liz N.