FINRA And Securities Litigation

Investment advisers nationwide are regulated by the Financial Industry Regulatory Authority (FINRA). Even with federal oversight, however, some advisers end up intentionally or unintentionally committing securities fraud — such as by selling unsuitable investments.

For example, if an adviser persuades a 90-year-old retiree to invest $1 million in high-risk oil and gas stocks instead of in low-risk bonds, it may very well be considered unsuitable, considering the retiree's needs and situation.

At the Florida law firm of Frese, Whitehead, Anderson, Anderson & Heuston, P.A., our attorneys are experienced in securities litigation and in the mandatory arbitration required under FINRA. We represent both individual and corporate investors who have been victims of negligence or fraud on the part of brokerage firms and investment advisers.

Diligently Representing Investors In A Broad Spectrum Of Cases

Frese, Whitehead, Anderson, Anderson & Heuston, P.A. handles a wide array of business litigation and securities law cases, including those that involve:

  • Breach of fiduciary duty
  • Churning of stocks
  • Deed of trust fraud
  • Failure to conduct due diligence
  • Failure to disclose material facts
  • Failure to diversify
  • Hedge fund fraud
  • Junk bonds
  • Ponzi schemes
  • Reverse-merger scams
  • Unauthorized trading
  • Unsuitability of investments
  • Other misrepresentation or negligence

Frese, Whitehead, Anderson, Anderson & Heuston, P.A.: A Respected Name In Law Since 1989

Our Melbourne law firm has been a respected advocate on behalf of clients' rights and interests for the past 25 years. Out of the seven lawyers at Frese, Whitehead, Anderson, Anderson & Heuston, P.A., five have met the arduous requirements to become certified by the Florida Bar's Board of Legal Specialization. We have also received numerous accolades over the years, such as Martindale-Hubbell's highest peer review rating of AV Preeminent.*

To schedule a consultation with a lawyer skilled in FINRA arbitration and securities disputes or any other area of practice, call us at 321.473.3295 or send us an email.

*AV Preeminent and BV Distinguished are certification marks of Reed Elsevier Properties Inc., used in accordance with the Martindale-Hubbell certification procedures, standards and policies. Martindale-Hubbell is the facilitator of a peer review rating process. Ratings reflect the confidential opinions of members of the bar and the judiciary. Martindale-Hubbell ratings fall into two categories: legal ability and general ethical standards.