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Securities Litigation and Arbitration
Unfortunately, not all Stockbrokers and Investment Advisors are ethical and trustworthy. Many of them take advantage of trusting people. That is where we come in.
At David A. Weintraub, P.A., we help victims of unscrupulous stockbrokers, investment advisors, and wealth managers fight back. We can help determine if you have a case and can seek to get you compensation for your losses.
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FINRA Investigations
The Financial Industry Regulatory Authority, Inc., aka FINRA, is the largest independent regulator of securities firms doing business in the United States. It is a private corporation that acts as a self-regulatory organization (SRO) for the securities industry. FINRA’s mission is to protect investors by making sure the United States securities industry operates fairly and honestly.
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Elder Exploitation
Elder Exploitation is a form of abuse that occurs when a person, most often a relative or a professional such as a financial advisor, exploits an elderly person (age 65 and older) or a disabled adult. This can happen when using their funds, assets, or property without their consent or taking advantage of them in other ways.
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Commercial Litigation
Commercial litigation is a broad term that describes virtually every type of dispute that may arise in a business context. Common examples of commercial litigation include breach of contract, partnership disputes, class actions, and shareholder issues. This can include, but is not limited to, contract disputes, claims against another company or governmental entity, partnership/joint venture disputes, class action suits, business torts, civil RICO claims, breach of fiduciary duty allegations, and shareholder issues. These are all part of a commercial litigation.
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BrokerCheck Expungements
The CRD is a registration and licensing system that contains disclosure and administrative information on brokerage firms, as well as individuals who dispense investing and financial advice. The Financial Industry Regulatory Authority (“FINRA”) operates and maintains the Central Depository Registry (“CRD”) pursuant to its rules, and by agreement with the North American Securities Administrators Association (“NASAA”) and other securities regulators.
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Employment Litigation
Not surprisingly, the financial securities industry is a hotbed for employment litigation. Brokerage firms routinely use the FINRA arbitration process to sue former employees who have defaulted on promissory notes. Again, not surprisingly, when promissory note cases are filed, they are often met with counterclaims, alleging some sort of employment claim.
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