Practice Areas

Financial Institutions and Securities Law Disputes

Financial Institutions and Securities/Brokerage Firms have responsibilities under the law to their customers.

Both businesses and individuals are damaged when banks, brokerage firms, security dealers, financial advisers, brokers and other related entities fail in their duty to customers. Many claims involving banks and other financial institutions are governed by the Uniform Commercial Code in the jurisdiction in which the transaction leading to damage occurred.

The following are certain types of claims that may arise: (A) Uniform Commercial Code claims under Article 3 (Negotiable Instruments), Article 4 (Bank Deposits and Collections), Article 4A (Fund Transfers), or Holder in Due Course Issues; (B) Common Law claims such as Breach of Contract, Breach of Fiduciary Duty, Constructive Fraud/ Misrepresentation, Aiding and Abetting, Negligence, Unjust Enrichment, and Conversion; and (C) Claims under the Uniform Fiduciaries Act, Consumer Protection and Criminal laws.

Claims involving stockbrokers and other investment professionals are governed by state and federal laws/regulations. Investment professionals are accountable to the Financial Industry Regulatory Authority (“FINRA”), which also is the forum in which many claims against investment professionals are determined. False promises and fraudulent inducement to purchase securities as well as other unlawful commercial practices could lead to liability for the investment professional where the consumer is damaged.

Claims under the Sarbanes-Oxley Act and Dodd-Frank Act are brought by individuals who blow the whistle and expose illegal practices in the U.S. capital markets. In addition to assisting clients with supplying information to the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) to seek redress and recoupment of funds from unlawful practices, Henrichsen Law Group assists clients in protecting them against unlawful retaliation in their jobs in the financial industry. Whistleblowers who supply information about violations of securities and commodity-related laws can be eligible to receive sizable monetary rewards. The attorneys at Henrichsen Law Group have the experience necessary to protect the rights of clients and preserve their investment value and in the case of employees, their value and dignity.

Should you seek legal advice and representation, contact the law firm of Henrichsen Law Group, P.L.L.C. for a thorough and confidential consultation.

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