Wisconsin Securities Arbitration & Litigation Lawyers
Gana LLP specializes in representing individuals and institutions in securities litigations in the State of Wisconsin and in arbitration before the Financial Industry Regulatory Authority (FINRA). Many clients have suffered substantial financial losses in their portfolios prior to retaining us. At times the clients are unable to understand where their funds have gone, how their broker allowed such losses to occur in the first place, and what their investments are currently worth.
Legislative laws, statutes and industry regulations protect investors against brokers who engage in churning fraud, breach of fiduciary duty, negligence, failure to supervise, unsuitable sales and unauthorized trading. Below are helpful links and resources containing information about investor protection available in the State of Wisconsin.
- Wisconsin Department of Financial Institutions registers and monitors the activities of broker-dealers, securities agents, investment advisers and investment adviser representatives.
- The Bureau of Consumer Protection protects consumers from unfair business practices.
- Wisconsin Uniform Securities Act contains provisions to facilitate and regulate the securities marketplace.
- 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.
State securities regulators provide nominal reimbursement to investors; therefore the best change for investors to be compensated is to hire an experienced securities attorney. The attorneys of Gana LLP can help clients determine if investment losses were the result of normal market forces or misconduct by Wall Street.
In many cases, broker-dealers strategically utilize novel investment products in order to gain large commissions without conducting the due diligence required and fail to consider the investor’s willingness to withstand the large losses. In other cases, clients come to us with account statements and trading activity so voluminous and complex that the client cannot even tell how much money they have lost. Many times these indecipherable account statements are set up to cover up excessive trading activity and risk. 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.
To learn more about potential claims and securities topics please visit our Securities Arbitration & Litigation page. Gana LLP represents investors in all major Wisconsin cities including Milwaukee, Madison, Green Bay, Kenosha, Racine, Appleton, Waukesha, Oshkosh, Eau Claire and Janesville. Our consultations are free of charge and the firm is only compensated if you recover.