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Securities Law

Securities Law

Have you had funds stolen from you by a financial advisor? Is your financial advisor abusing your account or buying you unsuitable investments? Has your financial advisor committed fraud or misrepresented key details to you?

Heritage Law Office is a securities law firm that provides a broad range of services to clients in the securities industry.

We have represented clients in major securities litigation and FINRA arbitration, recovering stolen assets for clients. We have significant experience dealing with financial advisors who outright stole assets, committed fraud, and created a Ponzi Scheme and their supervising firms . We have also represented clients in connection with registered and unregistered offerings of securities. 

Heritage Law Office Securities Law Services

Heritage Law Office offers securities services in the following areas:

  1. Securities Fraud
  2. Theft
  3. Unsuitability
  4. Churning
  5. Failure to Supervise
  6. Breach of Fiduciary Duty
  7. Excessive Trading
  8. Ponzi Schemes
  9. Annuity Fraud
  10. Surrender Penalty
  11. Advisor Negligence
  12. Promissory Notes
  13. Unauthorized Trading
  14. Unlicensed Trading
  15. Misrepresentation
  16. Elder Financial Abuse
  17. Failure to Conduct Due Diligence
  18. Failure to Disclose Risk
  19. Failure to Diversify
  20. Failure to Warn
  21. Failure to Execute
  22. False Statements and Omissions
  23. Forgery and Alteration of Documents
  24. FINRA Arbitration
  25. Inverse or Leveraged ETFs (Exchange Traded Funds)
  26. Non-Traded REITs
  27. Variable Annuity Fraud

Contact a Securities Litigation Attorney in Wisconsin

You trusted your financial advisor to help you grow your money, but now it seems like they've been taking advantage of you.

Financial abuse can happen to anyone. No one is immune from being scammed by a dishonest financial advisor.

Heritage Law Office is here to help. We have the experience and knowledge necessary to get your life back on track. We will fight for your rights and make sure that the person responsible for this crime pays for their actions. Contact us today by sending us a message or giving us a call at 414-253-8500.

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Frequently Asked Questions (FAQs)

1. What is Securities Fraud?

Securities fraud, often known as stock or investment fraud, involves misleading investors or manipulating financial markets, typically leading to significant losses. It can take many forms, including providing false information, withholding key details, insider trading, and setting up Ponzi schemes. Our team at Heritage Law Office has deep knowledge and experience in dealing with such fraud and can help victims recover their lost assets.

2. What does FINRA Arbitration mean?

FINRA (Financial Industry Regulatory Authority) arbitration is a method to resolve disputes between investors and brokerage firms or brokers registered with FINRA. It's quicker and usually less expensive than court litigation. Our experienced attorneys have represented many clients in FINRA arbitration cases, helping them get back their lost or stolen assets.

3. How can Heritage Law Office help with cases of Elder Financial Abuse?

Elder financial abuse involves the illegal or unauthorized use of an older person's funds or resources. This could involve a financial advisor taking advantage of the elderly individual's trust. Heritage Law Office has a long history of protecting the rights of elders who have been financially exploited, and we work tirelessly to hold the perpetrators accountable and recover lost assets.

4. What does it mean if my investments are Unsuitable?

Unsuitable investments refer to financial products or strategies that don't align with an investor's financial goals, risk tolerance, or financial situation. A financial advisor has a duty to recommend suitable investments to their clients. If they fail to do so, it may constitute a breach of their fiduciary duty, and they may be held liable for any resulting losses.

5. What can I do if I've been a victim of Unauthorized Trading?

Unauthorized trading occurs when a broker makes trades on a client's account without their consent. This is a breach of fiduciary duty, and you may have grounds for a claim. Heritage Law Office can represent you and work towards recovering your assets. Contact us today by sending us a message or giving us a call at 414-253-8500.

Contact Us Today

For a comprehensive plan that will meet your needs or the needs of a loved one, contact us today. Located in Downtown Milwaukee, we serve Milwaukee County, surrounding communities, and to clients across Wisconsin, Minnesota, Illinois, and California.