If you suspect your financial advisor of misconduct, you can file a regulatory complaint against their Georgia investment company. Regulatory bodies at both state and federal levels, such as the Georgia Secretary of State Securities Division and the Financial Industry Regulatory Authority (FINRA), might investigate your allegations.
These regulatory agencies are responsible for enforcing securities laws. While filing a complaint won’t directly lead to financial recovery, it provides an avenue for regulators to investigate potential violations of laws. To recover investment losses, you’ll need to initiate a civil action either through court proceedings or FINRA arbitration.
At Meyer Wilson, we have over 75 years of combined experience safeguarding investors’ rights. With a track record of recovering over $350 million for clients and consistently winning cases, our team stands ready to assist you. A Georgia investment fraud lawyer from our firm will guide you through the process of filing a complaint. Contact us for a free initial consultation.
When to File a Regulatory Complaint?
When a representative of an investment or securities firm engages in negligence or fraud, resulting in harm to you, you may lodge a complaint with the relevant regulatory body.
Before deciding whether to pursue a regulatory complaint, consult a securities fraud attorney serving Georgia. Your lawyer can help you file one and initiate a civil action to recover your losses.
Identifying signs of investment misconduct may pose challenges for individuals without specialized knowledge. If you observe any irregularities or suspect questionable transactions, seek legal advice. A lawyer will evaluate your investment portfolio, identify any potential grounds for further action, and advise you accordingly.
We Have Recovered Over
$350 Million for Our Clients Nationwide.
Reasons for Filing a Complaint Against an Investment Firm in Georgia
Investment misconduct and fraud encompass a broad spectrum of actions that can impact investors. The primary distinction between these two categories lies in intent: fraud involves deliberate deception for personal gain, whereas negligence denotes a failure to exercise the required level of care.
You may have grounds for submitting a complaint against a securities company if an advisor engaged in any of the following activities:
- Breach of fiduciary duty
- Misrepresentation
- Unauthorized trading
- Insider trading
- Churning
- Mismanagement of client funds
- Failure to supervise
- Unsuitable investment recommendations
- Violation of Georgia securities laws
By spotting any suspicious activity in your investment portfolio, you can address the situation before it leads to further loss. An early intervention facilitates timely investigation and resolution of the issues reported.
Take These Steps Before Filing a Complaint Against a Securities Company
Uncovering investment negligence may come as a surprise, but your response can impact the potential value of your claim. Seek guidance from Meyer Wilson to make sure you take the appropriate steps to protect your rights.
Use All Available Evidence
Evidence forms the bedrock of your allegations and can validate claims of misconduct. Furthermore, convincing proof can accelerate the investigation process and facilitate a swifter resolution.
Various types of evidence can strengthen your complaint against a securities firm, including:
- Transaction records
- Account statements
- Written correspondence
- Email communications
- Disclosure documents
- Witness testimonies
- Contracts or agreements
Should you collaborate with an investment fraud attorney from our team, we can manage these tasks on your behalf. Tell your attorney everything that happened in detail; this will allow us to locate all the relevant evidence and add it to your case.
Collaborate With an Investment Fraud Lawyer Serving Georgia
Understanding securities laws can pose challenges without the support of an attorney. After a detailed examination of your case, our team will explain how Georgia laws apply to your situation.
Opting to collaborate with a securities fraud attorney from our team increases the likelihood of a favorable resolution for your case. We use different types of evidence to show how the financial advisor’s negligence directly contributed to your losses.
Our lawyers are nationwide leaders in investment fraud cases.
Regulatory Bodies Overseeing Investment Companies in Georgia
Regulatory complaints are usually filed with state or federal regulatory bodies, depending on the particular issue and the jurisdictions involved. When submitting a complaint, provide accurate and detailed information along with any required documentation.
In Georgia, you can file a regulatory complaint against a securities firm with state and federal regulatory bodies, such as:
- Georgia Secretary of State Securities Division
- Georgia Office of the Attorney General
- Georgia Department of Banking and Finance
- FINRA
Accurately pinpointing the regulatory agency can streamline the complaint process and enhance the probability of receiving a prompt response. After examining your case, an investment fraud attorney will determine where to file your regulatory complaint.
We Are The firm other lawyers
call for support.
Our Georgia Investment Fraud Attorneys Will Help You File a Regulatory Complaint
If you believe that a securities firm has been involved in deceptive practices, talk to our lawyers. At Meyer Wilson, we are experienced in navigating intricate securities laws and advocating for the rights of investors throughout Georgia.
We will carefully evaluate your circumstances and offer recommendations on the most suitable course of action, which may involve filing complaints with pertinent regulatory agencies. With a track record of success, our team has effectively represented investors who have suffered losses in their portfolios.
Our team offers personalized legal support to hold the responsible party accountable. Schedule a consultation with us today to discuss your options. Contact us today to get started.
Recovering Losses Caused by Investment Misconduct.