- Glossary of Terms
- Do I Have a Securities Claim?
- Why Hire a Lawyer?
- What is Arbitration?
- What Disputes are Eligible for Arbitration?
- Who are the Arbitrators?
- Can I be Represented by an Attorney?
- How is Arbitration Begun?
- What Happens After the Claim is Filed?
- How do I Prepare for a Hearing?
- How are the Hearings Conducted?
- How are the Parties Notified of Decisions?
- Q: Do I Have a Securities Claim?
- Q: I Think I may be the Victim of Securities Fraud. What Should I do?
- Q: I Live Outside of the United States and Believe That I Have Been a Victim of Securities Fraud. Whom do I Contact to File a Claim?
- Q: Will You Take My Case?
- Q: My Stockbroker/Brokerage Firm/Financial Advisor Wants to Meet to Resolve My Problem. Should I Accept the Invitation to Meet?
- Q: How Long can I Wait Before I File Something?
- Q. Are There Some Important Issues Relating to Certain States?
- Q: Will My Arbitration be Private?
A: Click here to view the some simple guidelines you can use to determine whether or not you may have a remedy for the losses you have sustained.
A: If you think you may be the victim of securities fraud you should take immediate action! Contact the law offices of Stoneman Law, (800) 783-0748. Or, you may fill out our contact form and Ms. Stoneman will contact you to discuss your situation shortly. ( Do I have a case? - form )
A: Contact Ms. Stoneman of Stoneman Law.
A: There is no charge to speak with Ms. Stoneman regarding your case. Take a moment and fill out our contact form. Ms. Stoneman will contact you to discuss your situation shortly.
You should seek legal counsel! Ms. Stoneman of Stoneman Law is a securities arbitration attorney and is always happy to discuss your situation. She will advise you whether your case is good or bad and what you should do and all at no charge. In conclusion.
A: You would be better served by speaking with a securities arbitration lawyer about your problem first. Realize that if you have raised an issue or a problem with the broker or firm, there is a good chance the firm is required to report it to the regulators. Once that happens, brokerage firms shift into defensive mode and their objective in any meeting is to help the defense of the case or claim. Not only are you unlikely to get a satisfactory resolution in this meeting, you may do more harm to your case.
A: The only thing that stops the time clock from ticking is your filing of an with FINRA. This is different than making a complaint to FINRA. You can make a complaint to FINRA on your own but you should only file an arbitration claim with the assistance of an attorney. Likewise, only an attorney can evaluate whether you have waited too long to take action. It’s not a black and white issue and many factors influence your ability to proceed, such as the broker reassuring you that you have nothing to worry about. So talk to an attorney soon. Ms. Stoneman is always happy to talk to you.
A: In Colorado, all arbitrations for Colorado residents take place in Denver, Colorado, the mile-high city. For more information about Colorado, click here.
A: In Texas, the Texas State Securities Board has passed regulations that really help investors with claims. For more information about Texas, click here.
A: In New Mexico, the New Mexico Securities Division is focusing on Affinity Fraud, where the stockbroker preys upon members of identifiable groups. I have personal handled several Affinity Fraud cases. For more information about New Mexico, click here.
A: In Utah, investors are protected by legislative statutes, both federal and state, but also by industry rules promulgated by FINRA and the SEC. For more information about Utah, click here.
A: The state of Arizona is considered an investor friendly state, likely due to the high number of retirees that settle there. Arbitration awards from Arizona are often better than many other areas of the country. For more information about Arizona, click here.
A: In Wyoming, investors are protected not only by legislative laws and statutes, but also by industry rules that prohibit brokers from engaging in fraud, unsuitable sales, churning, breach of fiduciary duty, failure to supervise, unauthorized trading, and negligence. For more information about Wyoming, click here.
A: In Nebraska, The Nebraska Department of Banking and Finance regulates securities in Nebraska and all arbitrations are held in Omaha. For more information about Nebraska, click here.
A: Kansas stockbroker fraud is regulated by the Office of the Securities Commission, and one of its missions is to protect and inform Kansas investors. For more information about Kansas, click here.
A: The South Dakota Securities Division cites as one of its Top Investor Threats: “Unregistered products/unlicensed salesmen”. For more information about South Dakota, click here.
A: Montana securities arbitrations are held in Helena. Remember that arbitrations take place in the state where the investor resides, not where the stockbroker works. For more information about Montana, click here.
A: The North Dakota Securities Department is responsible for the enforcement of the North Dakota securities laws that protect citizens from dishonest investment practices, and regulate the people and companies offering investment opportunities. For more information about North Dakota, click here.
A: Idaho investors are protected by legislative statutes, both federal and state, but also by industry rules promulgated by FINRA and the SEC. For more information about Idaho, click here.
A: Yes. Unlike court cases where reporters routinely scour the filings of parties for newsworthy items of interest, this cannot be done in a FINRA arbitration – by reporters or any third party. The entire proceeding is private – everything that is filed and the actual hearing itself. The only way that it would get into the press (you will notice that several of Tracy’s cases have been in the press) is if Tracy obtains the permission of her client to do so.