Securities and Commodities
Arbitration and Litigation

At Place & Hanley our primary goal is to represent investors who have lost their savings and retirement when their brokerage accounts were mishandled. The Law Offices of Place & Hanley is a law firm that represents individual and institutional investors in securities arbitrations and litigation. Our attorneys have filed claims against the nations top brokerage firms, including the major Wall Street institutions. Attorneys for the firm practice before the Financial Industry Regulatory Authority (FINRA) which was created in 2007 through the consolidation of the National Association of Securities Dealers (NASD) and New York Stock Exchange (NYSE) enforcement and arbitration divisions. The firm also represents clients in state courts to resolve financial disputes between customers, brokerage firms and other financial institutions.

The majority of securities disputes between investors and brokerage firms are resolved in arbitration before the Financial Industry Regulatory Authority (FINRA) or the New York Stock Exchange (NYSE). The principal attorneys of this firm have represented hundreds of investors in arbitration and mediation. Our success is attributable to hard work, client dedication and an in-depth knowledge of the securities industry.

Our firm has been successful not only in recovering our client’s out of pocket losses, but in multiple cases our clients have received punitive damages and reimbursement of their attorneys’ fees. Please visit our Featured Cases page for examples of the arbitration matters we have handled for our clients. Our attorneys have represented hundreds of clients nationwide who were victims of misrepresentations, commissions churnings, unsuitable investments, disappearing funds, unauthorized transactions, botched transfers, unregistered brokers, unregistered securities, improper margin liquidations, fraudulent research, “boiler room” sales practices and other wrongful acts. Our firm has experience handling cases concerning stocks, bonds, “penny” stocks, “junk” bonds, commodities, mutual funds and other investments.

We would appreciate the opportunity to put our knowledge and skill to work for you. If you have any questions, or if you would like to speak with one of our attorneys regarding your securities or commodities litigation or arbitration issue, please do not hesitate to contact our office.

What is stock broker fraud?

“Broker fraud” includes theft, lying and deceit, but it also includes other types of wrongdoing, such as churning, unauthorized transactions, unsuitable investments and other acts of greed, incompetence and negligence by stockbrokers, financial planners and others in the securities industry.

How do investors know whether they have a legitimate claim?

Given our extensive experience, we can quickly determine the merits of potential claims. As our firm works on a contingency fee basis, we only pursue claims when we believe there is a reasonably high probability of success.

What are the costs associated with arbitration claims?

At Place & Hanley, we typically work on a contingency or success fee basis when filing arbitration claims, meaning our firm’s interests are closely aligned with our clients. Clients may be responsible for filing fees and incidental costs, both of which vary based upon the complexity of the claim. All legal fees and costs will be explained in advance. During the initial free consultation an attorney from our firm will discuss the merits of your claim with you in detail.

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Our attorneys provide sophisticated legal representation to clients in securities arbitrations including:

• Breach of Fiduciary Duty
• Unsuitability
• Excessive Activity
• Over-Concentration
• Negligent Supervision
• Unauthorized Trading
• Margin Trading
• Mutual Fund Fraud
• Misrepresentation