Handling All Securities Law Issues

At The Strause Law Group, PLLC, our attorneys possess comprehensive experience in representing investors throughout the country in claims against brokerage firms, stockbrokers, and investment advisors. Our firm represents both claimants and respondents in FINRA arbitration matters, and we are diligent in finding creative and practical solutions to securities disputes.

The majority of our actions involve alternative dispute resolution because of the nature of securities claims. Attorney Randall Strause has served on arbitration panels as a public arbitrator for the Financial Industry Regulatory Authority (FINRA) for approximately 20 years and is a seasoned mediator. His arbitration/mediation experience has provided him with extensive knowledge in properly evaluating securities claims. Our attorneys implement past successful strategies in order to reach a fair and just resolution of our clients' claims.

Investors frequently retain The Strause Law Group, PLLC, in Louisville and Lexington, Kentucky, for the following:

  • Unsuitability
  • Failure to supervise
  • Stockbroker fraud
  • Over-concentration/Failure to diversify
  • Churning
  • Variable annuities
  • Misrepresentation and omissions
  • Breach of contract
  • Breach of fiduciary duty

Misconduct/Investment Fraud

Stockbrokers and investment firms are required to abide by ethical standards. However, sometimes financial advisors fall short of those standards, or in the worst circumstances knowingly violate them. If your financial advisor uses your money and account inappropriately, you have a right to hold that financial advisor accountable for his/her negligence and/or intentional misconduct. Investors should not suffer adversely as a result of a financial advisor's wrongdoing. Based in Kentucky, our attorneys handle intentional misconduct and negligent claims throughout the country and work with attorneys across the United States to ensure that our client's rights are upheld.

Investment Advisors

The Strause Law Group, PLLC, is frequently retained to represent FINRA members in disputes concerning promissory notes, non-compete agreements, expungement, and FINRA investigations. Our knowledge and experience in defending financial advisors fully appreciates the ramifications that these claims present to a financial professional. Whether representing the plaintiff or defendant, our firm prepares every case as though it will be tried, since experience has shown that this pays dividends at the time for resolution (settlement, arbitration or trial).

First Step

The Strause Law Group, PLLC, has developed long-term relationships with our clients and we believe this attests to the quality of our counsel. For results-oriented lawyers who will advocate for your interests, contact us online or call 502-498-8268 or 859-428-7029 to schedule an initial consultation.