We Work To Ensure Your Broker Follows FINRA Regulations


Securities brokers are salesmen first and foremost. Some of them are diligent, ethical and effective in working for their clients’ best interests, while others are not. If you suspect your broker was negligent, contact a lawyer with real experience in the field at the office of Timothy J. Dennin, P.C., in Northport and Manhattan.

Leveraging Essential Regulatory Protections

The Financial Industry Regulatory Authority, or FINRA, is a large, independent regulator of securities firms doing business in the United States. FINRA’s job is to “protect investors by maintaining the fairness of the U.S. capital markets” by overseeing thousands of brokerage firms and more than half a million registered securities representatives (Source: FINRA.org).

FINRA prescribes and enforces a code of conduct that investment firms and individual brokers are required to follow. When its rules concerning the responsibilities of brokers are broken, FINRA can bar or suspend a firm or broker from doing business, levy fines and facilitate justice through judicial channels.

However, FINRA does not represent investors or seek compensation for investor losses due to broker negligence or fraud. An experienced securities lawyer can pursue litigation, arbitration or mediation against a broker or brokerage when an investor suffers loss from negligent actions such as:

  • Unsuitable investment recommendations
  • The failure of a firm to supervise one of its brokers
  • The hiring and retaining of a broker with a history of misconduct
  • The failure of a broker to adequately understand the products he or she recommends, particularly when complex investments like structured products, derivatives, CDOs and CMOs are involved

What You Can Do When You Suspect Stockbroker Misconduct

If you lost money as a result of broker negligence, our firm can help. Attorney Timothy J. Dennin has successfully handled securities litigation, FINRA mediation and FINRA arbitration for more than 25 years. Mr. Dennin has won scores of cases and hundreds of millions of dollars for investors in Manhattan and throughout the country, recovering money for the vast majority of his clients.

In order to recover investment losses, negligence must be established. Mr. Dennin is extremely knowledgeable regarding industry standards and highly skilled at investigating broker and investment firm negligence, and pursuing appropriate action.

Contact Us To Schedule A No-Cost Meeting To Discuss Your Case

For a free consultation with an experienced New York FINRA broker negligence lawyer, contact the law firm of Timothy J. Dennin, P.C. We can answer your questions about any issues related to broker misconduct. Call us today at 866-437-9475.