Dallas and New York City
FINRA Claims Attorneys

As a securities investor or professional, you have the right to seek damages against a broker or other securities firm or professional who wronged you by filing an arbitration claim with the Financial Institutions Regulatory Authority (FINRA). Securities industry members regulated by FINRA may file claims by employees and other securities industry members.

Whether you are an employee, investor, or securities professional in Texas or New York, the Dallas and Wall Street FINRA claims lawyers at Kilgore + Kilgore invite you discuss your legal options in a confidential consultation. Contact us today.

Understanding FINRA

The regulator for securities professionals and firms conducting business in the U.S., 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 dispute resolution mechanisms created by and for the securities industry.

Our Dallas and Wall Street FINRA claims lawyers have handled many FINRA-related cases involving:

• Fraud and self-dealing by brokers
• Broker negligence
• Breach of securities-related agreements

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 the broker's actions were intentional and for their own personal gain is one way in which our Texas and New York FINRA claims background, resources, and trial experience can affect the outcome.

Representing Securities Professionals

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

Representative FINRA Cases of Kilgore + Kilgore

• Clubine v. Southwest Securities, Inc.
• Schonhorst v. Dane-Rauscher, LLC
• Hurt v. UBS Financial Services, Inc.
• Jupiter v. Orbit Fund, Ltd. and Mercury Orbit Fund v. Diversified Corporate
• Carberry et al v. Bank of New York
• Welborn v. Colonial Asset Management, Inc.
• Echols v. Salomon Smith Barney, Inc.
• Payte v. UBS Financial Services, Inc.
• Weisz v. UBS Financial Services, Inc.

Contact Our Texas Broker Fraud Lawyers

Contact Kilgore + Kilgore for proven, knowledgeable representation in FINRA claims, by Dallas and Wall Street FINRA claims attorneys committed to protecting your rights and financial interests.