Florida Securities Attorneys

The Florida securities attorneys at Gana Weinstein LLP represent individuals involved in securities arbitration before the Financial Industry Regulatory Authority (FINRA) in Florida. Our investment attorneys handle securities arbitrations in Miami, Orlando. Jacksonville, Tampa, Naples, Fort Lauderdale, Boca Raton, Tallahassee, Lake Worth, Naples, St. Petersburg, Pensacola, Gainesville, Clearwater, Key West, Palm Beach, and Daytona Beach.

When investors first contact our firm, many have suffered substantial financial losses in their portfolios. Many clients have difficulty understanding where their funds have gone, how their broker allowed such losses to occur in the first place, and what their investments are currently worth. Our Florida securities attorneys are experts in investment fraud and can help navigate the contours of whether a client has a potential case.

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

• Florida Division of Securities under the Florida Office of Financial Regulation regulates the sale of securities within the parameters of Florida law.
• Florida Consumer Protection Division of the Office of the Attorney General investigates and enforces violations in any trade or commerce.
• Florida Statue § 517 is a state law regulating the securities industry. Specifically, Section 517 states that it is unlawful and a violation of the law to offer, sell or purchase a security employing any device, scheme, or artifice to defraud. It is also unlawful to obtain any money by virtue of any untrue statement of material fact or to omit a material fact in order to mislead an individual to give money. Finally, it is unlawful to engage in any transaction or course of business that would operate as a deceit or fraud upon any individual in the state of Florida.
• 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.

It is important to understand that regulators are not responsible for reimbursing investment losses. By hiring an experienced Florida securities attorney to pursue their claim, investors have the best chance to be compensated. The attorneys of Gana Weinstein LLP dedicate themselves to helping clients determine if investment losses resulted from normal market forces or Wall Street misconduct. 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 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. Most of our FINRA cases involve the sale of unsuitable investments, the failure to supervise by a brokerage firm, broker theft, selling away or other broker misconduct related to securities fraud or investment fraud. If you suffered from one of these claims our securities fraud attorneys may be able to help.

To learn more about potential claims and securities topics please visit our Securities Arbitration page. Gana Weinstein LLP represents investors in all major Florida cities including Jacksonville, Miami, Tampa, St. Petersburg, Orlando, Tallahassee, Fort Lauderdale, Pembroke Pines, Boca Raton and Port St. Lucie. Our consultations are free of charge and the firm is only compensated if you recover. Our Florida Investment and securities attorneys are here to help you.