Securities Lawyer Serving Southeastern Michigan and Central and Northern Indiana
Experienced Counsel You Can Trust
Disputes that arise in the securities industry involve a highly complex, technical and fluid area of the law. If you have lost money because of an investment specialist's negligence, mistake or unethical conduct, or if you are financial industry professional who feels that you may have been wronged by your former employer, the guidance of an experienced securities lawyer is crucial for understanding and protecting your rights.
At office of Kevin P. Cummings, Attorney and Counselor at Law, I draw from a valuable depth of experience that few attorneys can offer. I am a veteran of a leading financial services and insurance firm, and I hold multiple securities licenses from FINRA. I have the ability to assess a situation from multiple angles -- from my client's perspective as well as from the perspective of a securities firm. As a former prosecutor, I know the value of a focused, aggressive approach to achieving results.
Call 810-494-7194 or contact me online to schedule a complimentary initial consultation to discuss your securities law matter.
Unlike many larger firms, securities law is my exclusive focus. I am dedicated to providing efficient, value-oriented, cost-effective representation. I strive to build meaningful, long-lasting relationships with every client.
The Legal and Regulatory Landscape
The Financial Industry Regulatory Authority (FINRA) is a non-governmental agency that regulates brokerage houses, brokers, investment advisor representatives and financial planners. FINRA was formed in 2007 through the consolidation of the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE). In contrast to the Securities and Exchange Commission (SEC), a governmental agency whose functions are primarily related to the statutory portion of securities law, FINRA's functions center upon regulation, rulemaking, education and the administration of a forum for resolving securities law disputes.
A Detailed-Oriented and Results-Driven Approach
Whether it involves misconduct by a broker, investment advisor representative or your former employer, resolution of your matter begins with a careful examination of your brokerage agreement or employment contract. Your options for pursuing relief and compensation will be largely dictated by the terms of these documents. Many brokerage agreements contain arbitration clauses which typically prevent you from pursuing your claim through a traditional lawsuit.
The securities industry is a constantly-changing environment where answers to legal disputes are not always clear-cut. If you have been the victim of securities fraud or negligence, including churning, unsuitable investments or unauthorized trading, my first priority is to determine whether or not your case is actionable. I will carefully evaluate your situation and, if your case is actionable, I will provide aggressive and knowledgeable representation that puts your best interests first.
Misconduct Claims Against Brokers and Investment Advisor Representatives
When you lose money as a result of negligence, fraud or other wrongdoing by your investment specialist, you may be entitled to compensation for that loss. The nature of your claims depends on who was responsible for your loss. Brokers and investment advisor representatives are held to different standards of conduct. I have extensive experience representing clients in both broker misconduct claims and investment advisor representative misconduct claims.
Securities Representatives Claims Against Former Employers
With a LLM in Labor Law, I understand the complicated nature of employment law claims that arise in a securities context. The terms of your employment contract are central to your case and dictate your options for recourse. I aggressively represent investment specialists' interests in actions against their former employers, whether in arbitration or in the courtroom.
Complimentary Initial Consultation
Call 810-494-7194 or contact me online to schedule a free consultation to discuss any of these securities law matters.
My office is located in the Mill Parke Pond office suites in downtown Brighton and is open 8:30 am and 5:00 pm Monday through Friday. Appointments for other times and locations are also available. For your convenience, credit cards are accepted.
Knowledge. Experience. Perspective.
 | Kevin P. Cummings |