Numerous federal laws and regulations regulate the securities market. When these rules are violated, investors lose. At Barker | Cook, our Tampa law office represents investors throughout Florida and beyond who have been financially damaged due to unfair securities practices.
Because the federal regulations governing securities are complex, it is important to consult with experienced securities litigation attorneys to ensure your investments are being managed in an effective and legal manner.
Was There Fraud Or Misconduct In Your Case?
Many stockbrokers take the credit when investors make money and blame the market when investments fail. As an investor, it is important to realize the role your stockbroker played in the loss of your investment. When loss results as the result of broker misconduct or securities fraud, you may be able to recover your lost investment.
At Barker | Cook, we represent clients during every stage of their securities litigation action.
Our attorneys thoroughly investigate misconduct, and provide intelligent and tough representation during negotiations and settlement conferences. When litigation is necessary to hold fraudulent securities firms liable for our clients' losses, our attorneys' skills and experience provide clients with the strong courtroom representation they need to protect their interests and recover their losses.
Can You Recover Your Lost Investment?
Securities litigation is a complex area of law. Unique laws, regulations and industry standards apply, and many actions involve government organizations.
Our attorneys are well-versed in the nuances of securities law. Working closely with our investor clients, we develop intelligent, innovative legal campaigns that recover lost investments and hold investment firms liable for fraudulent behavior.
At Barker | Cook, our attorneys have experience representing clients involved in a diverse range of securities litigation actions, including those based upon:
- Breach of a fiduciary duty
- Conflict of interest
- Churning or excessive trading
- Failure to supervise
- Failure to diversify
- Trading without investor permission
- Making risk or unsuitable investments
- Omission of facts
- Misrepresentation of investments
- Market manipulation
- Misuse of insider information
- Broker malpractice
What Role Do Federal Regulators Play?
The Financial Industry Regulatory Authority (FINRA) regulates stockbrokers and investment firms. Under FINRA regulations, brokers must follow a strict set of guidelines that forces them to put investors' interests above their own. At Barker | Cook, we help our investor clients hold brokers liable for their misconduct and recover their lost investments through FINRA claims when brokers violate FINRA regulations.