Securities Litigation And Representation Before FINRA

The very nature of securities trading makes disputes inevitable. Investors and the brokers they trust to advise them in good faith often do not communicate effectively. Anyone who incurs severe losses wants to know the reasons and, often, seek recourse for securities fraud or other wrongdoing.

Knowledge And Perspective You Can Trust · Get A Thorough, Reliable Evaluation Of Your Legal Options

At Dunn & Panagotacos LLP, we have diverse experience gained across a spectrum of business-related issues — and securities litigation is familiar territory.

Insightful Counsel On All Types Of Investment Disputes · Broker/Dealer Representation

At our law firm with offices in San Francisco and Walnut Creek, we welcome your inquiry about any securities litigation matter or your need for professional liability and license defense. We offer services that include:

  • Representation of broker/dealers and other financial services professionals in disciplinary causes of action before the Financial Industry Regulatory Authority (FINRA) — including the expungement process
  • Thorough assessment of allegations of churning, failure to supervise and manage investments, failure to meet suitability requirements for individual investors or other financial wrongdoing

We are here to provide the guidance you need. To discuss your needs and basic questions with a lawyer, free of charge, call 800-556-3150 or send us an email.