Securities Arbitration

Investment Fraud Counsel

If you are an investor who has fallen victim to investment fraud or other misconduct by your financial advisor or brokerage firm, and have suffered investment losses, contact Faruqi & Faruqi, LLP today for a free and confidential evaluation of your claims.

Faruqi & Faruqi has extensive experience representing investors throughout the securities industry. The attorneys at Faruqi & Faruqi represent investors nationwide in disputes against financial advisors, brokerage firms and other companies to recover losses stemming from, but not limited to:

  • negligence;
  • unsuitable investments;
  • securities fraud;
  • churning;
  • unauthorized trading;
  • breach of fiduciary duty;
  • breach of contract;
  • and other forms of misconduct.

Request a Free and Confidential Legal Consultation Today


Evaluate Your Securities Fraud Claims

Call us nowCALL US NOW: (877)-476-7797

News & Investigations

FINRA Bars New York Securities Brokers Talman Anthony Harris and William John Scholander

Posted on October 10, 2016

On December 29, 2014, the Financial Industry Regulatory Authority (“FINRA”) barred New York securities brokers Talman Anthony Harris (CRD #3209947) (“Harris”) and William John Scholander (CRD #2938044) (“Scholander”), ordering them each to pay approximately $3,900 in hearing costs and ordering them each to pay...

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FINRA Bars Virginia Financial Advisor Tammy Petersen

Posted on October 10, 2016

On March 26, 2015, the Financial Industry Regulatory Authority (“FINRA”) filed a Letter of Acceptance, Waiver and Consent (“AWC”) against Virginia financial advisor Tammy Charlene Petersen (CRD #4161501) (“Peterson”), barring Petersen from associating with any FINRA member firm. According to the AWC, Petersen converted...

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