Florida Investment Fraud & Securities Arbitration Lawyer
The Law Office of Gregory Tendrich, P.A. is a small, dynamic law firm focusing exclusively on securities law and licensing matters. Gregory Tendrich has more than 18 years of experience in the field, having served as in-house counsel to regional and national brokerage firms before starting his own practice. Mr. Tendrich provides aggressive representation to investors, as well as to investment professionals. Contact our expert Florida investment & securities lawyer today, we can help.
- Broker & Brokerage Firm Law
- Customer Dispute Expungement
- Elderly Financial Abuse
- Financial Advisor Compliance
- Financial Advisor & Broker Transition
- Form U5 Law
- GPB Capital Holdings Losses
- Hedge Fund & Private Equity Fund Losses
- Master Limited Partnerships
- Ponzi Schemes
- Promissory Notes & Forgivable Loans
- Real Estate Investment Trust Lawyer (REIT)
- Regulatory Events
- Securities Arbitration
- Securities, Investments & Business Mediation
- Stock Fraud
- Unsuitable Investments
Get Relief from Investment Fraud with a Qualified Securities Lawyer
Have you experienced a significant loss in your investment portfolio? If so, you may want to consider contacting Gregory Tendrich to determine whether or not you have been the victim of stockbroker fraud. As an experienced securities lawyer, Mr. Tendrich can help identify whether or not you have been the victim of fraud and how best to proceed in your pursuit to recover your losses.
If you have suffered significant financial losses due to the misconduct of a broker, brokerage firm or registered investment advisor, you have rights.
Gregory Tendrich represents investors in cases involving:
- Unsuitable Investments
- Breach of fiduciary duty
- Financial exploitation of the elderly
- Failure to diversify
- Unauthorized trades/trading without permission
- Failure to supervise
- Ineptitude or malpractice
- Omission of facts
- Conflict of interest
- Prudent investor violations
Gregory Tendrich can represent you in securities arbitration under the auspices of the Financial Industry Regulatory Authority (FINRA), seeking full and complete compensation for your stock and investment losses.
Representing Brokers and Brokerage Firms
Attorney Gregory Tendrich provides advice and representation to brokers and brokerage firms in matters involving licensing, registration (U-4), termination (U-5), and all regulatory proceedings including Wells notices, FINRA and SRO “on-the-record” testimony requests, and all other matters affecting investment professionals including employment contracts, transitioning to another firm, and the resolution of outstanding promissory notes and debts.
Filing a Fraud Claim with the Help of a Securities Attorney
As any investor knows, the stock market experiences its ups and downs. Therefore, simply experiencing a loss does not necessarily mean you are the victim of fraud. If your broker fails to return your calls, if you are experiencing loss during an up market or if you experience a significant drop in the value of your account in a short period of time, on the other hand, it may be time to hire a securities lawyer. Some common forms of fraud that a securities attorney can address include:
- Breach of Fiduciary Duty – your broker is placed in a position of trust and confidence. Violating this trust results in a Breach of Fiduciary Duty.
- Conflict of Interest – when your broker or brokerage firm acts in their own interest and places their interests ahead of yours.
- Churning – excessive trading in your account that is done in an effort to increase the broker’s commissions, causing you to lose money due to excessive fees.
- Failure to Diversify – your broker is expected to reduce your risk by investing in a variety of areas suitable for you dependent on your risk tolerance and investment objectives. Putting all of your assets in a single stock or industry increases your risk of loss should that stock or industry suffer a downturn of losses.
- Failure to Supervise – if management fails to monitor its brokers’ trading activity and investor losses, your securities attorney may be able to pursue a Failure to Supervise claim.
- Ineptitude or Malpractice – malpractice suits involve the broker giving incorrect, unfounded, deceptive or misleading advice that results in a poor investment and loss of a significant amount of money.
- Omission of Facts – unlike Malpractice, Omission of Facts involves intentionally misleading you or failing to disclose important information about an investment.
- Trading Without Permission/Unauthorized Trading – a broker cannot make trades against your will or without your knowledge or permission.
- Unsuitability – investment recommendations that are not consistent with (unsuitable) your stated investment objectives, goals, risk tolerance and background.
- Misrepresentation – misrepresentation involves giving out wrong information or concealing true information, such as publicly supporting a stock while privately admitting it is a risky buy.
In addition to filing claims against a stockbroker for these reasons, your securities attorney may be able to file for enhanced damages if you are an elderly or disabled individual.
Experience You Can Depend On
Gregory Tendrich has been a certified FINRA arbitrator since 1995 and is certified as a mediator by the Florida Supreme Court. During the time he served as Assistant General Counsel to several brokerage firms, he held the Series 7 license. He has a comprehensive understanding of the regulatory, compliance and disciplinary procedures governing brokers and brokerage houses. Given his background and vast knowledge of the securities industry, you can depend on Gregory Tendrich for aggressive, representation in all securities employment and regulatory-related matters.
Free Consultation With an Experienced Florida Investment & Securities Fraud Lawyer
Florida investment & securities lawyer Gregory Tendrich wants to help you resolve your problem in the best manner possible. Contact Gregory Tendrich for a free initial consultation. The hiring of a lawyer is an important decision and should not be based solely on advertisements. Before you decide, ask Gregory Tendrich to send you free, written information about his qualifications and experience or view his attorney profile.