California Securities Attorneys

The securities attorneys at Gana Weinstein LLP represent individual investors in securities arbitrations in FINRA arbitration throughout the United States and in the state of California. Our investment attorneys represent investors in all major California cities including Los Angeles, San Diego, San Jose, San Francisco, Fresno, Sacramento, Long Beach, Oakland, Santa Ana, Anaheim, Pasadena and Bakersfield.

Our investment fraud attorneys have extensive experience in securities arbitration and understand the specialized knowledge necessary to navigate the complex legal landscape of securities fraud.

When clients first retain our securities fraud attorneys, many have suffered significant losses in their portfolios. Our first job is to assist our clients in understanding the cause of their losses- whether from normal market conditions or Wall Street malfeasance.

There are a host of claims that may be brought against broker-dealers in FINRA arbitration. Those claims include securities fraud under federal and state law, unsuitable investment strategies under California law, churning, failing to supervise the conduct of a broker, broker theft, general negligence and the violation of FINRA Rules.

These securities claims can be brought in FRINA arbitration throughout the state of California. FINRA’s main California office is in Los Angeles, California, but claims can be heard in San Diego, Sacramento, and San Francisco as well.

Remember, California investors are protected by a multitude of laws and statutes that along with industry rules prohibit broker misconduct. That misconduct can include the unsuitable sale of securities, securities fraud, churning, unauthorized trading, failure to supervise brokers, and negligence.

Below are resources that can help California investors understand some of these laws.

• The Department of Business Oversight (DBO) provides protection to consumers and services to businesses engaged in financial transactions. The Department of Business Oversight regulates all sales and offers of securities in California. All securities that are purchased in California must either be exempt from California securities registration or qualified by the Commission of the California Department of Business Oversight. The DBO is designed to help root out investment fraud in San Diego, Los Angeles, Oakland, San Francisco and all throughout the state of California.
• State of California Department of Justice: Office of the Attorney General The Attorney General of California is responsible for a host of criminal prosecutions including criminal claims related to investor protection and securities fraud. When our securities attorneys are faced with claims that could be criminally prosecuted, our investment fraud attorneys will sometimes work closely with Attorney Generals to help them learn more about our claims for potential prosecution.
• California Code - Section 25400 contains California's securities anti-fraud statute. According to California securities fraud statutes, it is unlawful for any person in California effect any securities transaction fraudulently.
• FINRA along with the Securities and Exchange Commission (SEC) also create and enforce the securities laws. FINRA also has a securities dispute resolution forum in which most claims against broker-dealers are made by securities attorneys. Our FINRA attorneys, investment attorneys and securities attorneys’ practices focus on bringing claims in California and throughout the United States in FINRA for claims related to securities fraud, churning, broker theft selling away and prosecuting claims related to failing to supervise brokers in FINRA.

While these entities and statutes can help you learn more about securities fraud and how to avoid investment fraud, only an that focuses on securities fraud civilly can help you try to recover your losses as a result of the broker misconduct seen in California.

To learn more about potential claims and securities topics please visit our Securities Arbitration page. Our consultations are free of charge and the firm is only compensated if you recover. Our securities attorneys, FINRA attorneys, and investment attorneys are here to help you. Our attorneys have represented over 1000 investors in FINRA arbitrations and have recovered millions of dollars for our clients. If you believe you have been a victim of securities fraud, investment fraud, or general broker misconduct call us.

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