Dallas FINRA Claim and Litigation Lawyers

As a securities investor or professional, you may have to file a claim against a broker or financial investment firm for fraudulent behavior involving a FINRA (Financial Industry Regulatory Authority) statement of claim or other regulatory matters. Professional brokers face accusations of fraud or financial impropriety by investors, employers, even regulators. Knowledgeable legal assistance is crucial to a successful outcome.

Whether you are an investor or a stockholder, futures or commodities broker, or related professional in Texas or elsewhere, Kilgore & Kilgore PLLC in Dallas, Texas, invites you discuss your legal options in a confidential consultation with one of our FINRA claims attorneys. Contact us today.

Understanding FINRA

As the biggest, independent regulator for securities professionals and firms conducting business in the U.S., the FINRA, oversees hundreds of thousands of brokerage firms, branch offices, and registered financial representatives. Among other aspects of the securities business, FINRA is responsible for enforcing federal securities laws and administration of the largest dispute resolution forum in the securities industry.

Our attorneys have handled many FINRA-related cases involving:

• Filing a FINRA claim
• Charges involving a FINRA-regulated activity
• FINRA arbitration representation

Representing Financial Investors

From securities litigation to bankrupt entity claims, we handle cases on behalf of investors claiming misconduct, attempts to conceal negligent activities, and other dubious behavior by securities brokers. Proving their actions were intentional and for their own personal gain is one area where our background, resources, and trial experience can affect the outcome.

Representing Securities Professionals

Securities professionals facing accusations of misconduct or fraud can be required to attend an on the record (OTR) interview with FINRA, the SEC, or other regulatory agencies. Those who find themselves in this situation can benefit from competent legal representation by our skilled securities lawyers.

Contact Kilgore & Kilgore at our Dallas law office for proven, knowledgeable representation in FINRA claims, by an attorney committed to protecting your rights and financial interests.