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Halling & Cayo, S.C.

Securities Litigation

While most disputes between investors and broker-dealers and registered representatives and broker-dealers are compelled to FINRA arbitration as the forum for dispute resolution, some cases (such as class actions or cases against non FINRA member firms) proceed in Court, with still other matters proceeding through the SEC Administrative process or the National Adjudicatory Council (NAC) for FINRA. Halling & Cayo’s lawyers have more than 60 years of combined experience litigating securities matters in arbitration, court, and administrative hearings.

Click here to see a list of the attorneys in each of our Practice Area Teams.

Representing Investors

Stockbrokers have a duty to make financial recommendations that are in their customers’ best interests. Legally, they are required to recommend only those investments that are suitable for their clients’ risk tolerance. Unfortunately, some of them fail to meet this minimum standard of responsibility in the interest of their own financial gain.

We are considered one of the preeminent stock fraud and broker misconduct firms in Wisconsin. Our lawyers have been recognized in the “Super Lawyer” survey of Wisconsin lawyers and in the “Best Lawyers in Milwaukee” edition of Milwaukee Magazine.

Anyone, at any income level, can be the victim of investment advisor misconduct. We offer flexible fee arrangements and are known for our flexibility in representing victims of investment loss on a contingency fee basis or for an hourly rate.

Have you been a victim of the following practices?

  • Unsuitability – When an advisor recommends an investment that is unsuitable for your income level and knows you lack understanding of the risk for the investment, it is unethical. Also included would be failing to diversify a portfolio or incompetence of reallocating investments as you age.
  • Securities fraud –If you feel that you are a victim of purchasing an investment and you were not advised about actual risks or about material investment information, you have the right to be compensated for your losses.
  • Churning – This is excessive trading designed to generate commissions for the broker without considering the profits for you.
  • Fund Switching – An advisor switches an investment such as a mutual fund, variable annuity or other investment in order to gain commissions for himself
  • Unauthorized trading – Trading by a broker without your permission or approval.
  • Unlicensed trading – Trading by a broker who has not been licensed in the state in which the customer lives

If you think you’ve lost money because of the fraud, negligence, or other misconduct of a stockbroker, investment advisor, or financial representative, please contact Halling & Cayo today.

Stockbroker Employment Disputes

Disputes often arise between registered reps and broker dealers when the relationship is terminated, whether by the broker dealer or the registered representative. Typically part of the employment agreement requires all disputes to be resolved via FINRA arbitration.

We have helped brokers in disputes with broker dealers involving:

  • Non-compete issues.
  • Enforcement of the Broker Protocol
  • Promissory Notes
  • Wrongful Termination
  • Discrimination
  • Defamatory U5 Reporting

If you have been fired, or simply left the employ of your broker dealer and have a dispute, give the attorneys at Halling & Cayo S.C. a call.

SEC and FINRA Defense

The SEC and FINRA wield an extraordinary amount of power over the people they regulate, registered representatives and investment advisors, and they don’t always have your best interests in mind. If you are the subject of an investigation or potential discipline from the SEC or FINRA, you need experienced counsel to represent your interests and make sure that you are able to continue to earn a living. The attorneys at Halling & Cayo have experience with:

  • Claims of Churning or excessive trading
  • Inaccurate U-5 reporting
  • Cherry-Picking
  • Unsuitability claims
  • Improper Solicitation
  • Selling Away
  • Lending to or borrowing from clients

If you are a registered representative or an investment advisor that is the subject of an investigation or disciplinary action by FINRA or the SEC, call the attorneys at Halling & Cayo to make sure your rights are protected.