Investors who believe they suffered financial losses due to the fraud, misconduct or incompetence of their brokers, financial planners, or investment advisors may attempt to recover their losses through litigation. Due to a series of Supreme Court decisions, in most instances that now means having to go to arbitration, before either the National Association of Securities Dealers (NASD), the New York Stock Exchange (NYSE), or the American Arbitration Association (AAA).

Working Today to Protect Your Future

While arbitration has some similarities to litigation in court, there are also unique aspects of arbitration that can create traps for the unwary. Securities arbitration is a specialized practice, and we have over 40 years of combined experience at it, including experience serving on arbitration panels. Other lawyers recognize us for our expertise, and we have received a significant share of our cases on referral from other attorneys. Over the past twenty years, we have successfully settled or achieved awards in arbitration cases involving:

Unsuitability – Recommending investments that are inconsistent with the customer’s financial circumstances, lack of sophistication, or risk tolerance, that fail to diversity a portfolio, or that fail to reallocate investments as a client ages

Securities fraud – Misleading the customer about an investment, including its actual risks, or failing to advise the customer of material information which an investor would ordinarily want to know in making an investment decision

Churning – Excessive trading designed to generate commissions for the broker, not profits for the customer

Fund Switching – Switching a client from one mutual fund, variable annuity, or other investment to another, in order to generate commissions

Unauthorized trading – Trading by a broker without the prior approval of the customer

Unlicensed trading – Trading by a broker who has not been licensed in the state in which the customer lives

If you think you may have lost money because of these or other forms of misconduct by a broker or financial advisor, please contact the stock fraud and stockbroker misconduct attorneys of Halling & Cayo today. Under the securities laws, delay in filing your case can result in your losing important rights, so don’t delay.

To learn more about our securities litigation practice, please visit our Stockbroker Misconduct or case summaries link to Securities Arbitration areas of Case Summaries page.

Contact a securities arbitration lawyer at Halling & Cayo, S.C.

From offices in the Historic Third Ward of Milwaukee, the securities arbitration lawyers of Halling & Cayo, S.C. represent clients throughout Wisconsin, including residents of Racine, Waukesha, Kenosha, Madison, West Bend, Port Washington, and Brookfield.