Providing Skilled Counsel On Securities Matters

From our offices in Lexington and Louisville, The Strause Law Group skillfully represents investors and FINRA members across the country with complex securities claims. Our founding attorney, Randall Strause, has extensive experience with securities law and the arbitration process, having served as a securities arbitrator for decades. Lawyer Strause draws on his background as a public arbitrator for the Financial Industry Regulatory Authority (FINRA) to identify practical solutions that secure favorable results promptly.

Our Kentucky firm has successfully resolved securities disputes in arbitration and courtrooms. Due to the nature of securities claims, the majority of our actions involve alternative dispute resolution rather than litigation. We represent both claimants and respondents in arbitration matters.

Guiding Clients Through Arbitration

When we are retained, we thoroughly examine account statements, correspondences with the other party and other relevant documents that support our client’s claim. We provide honest assessments of our clients’ legal options and the strength of their case before filing a statement of claim.

We file and defend against complaints related to:

• Unsuitability
• Failure to supervise
• Stockbroker fraud
• Over-concentration/failure to diversify
• Excessive trading
• Variable annuities
• Misrepresentation and omissions
• Breach of contract
• Breach of fiduciary duty
• Misconduct/investment fraud

Should parties fail to reach an agreement before an arbitration hearing, our lawyers are qualified to present a persuasive argument before arbitrators using the documents provided in discovery, testimony and other compelling information. With our assistance, our clients are well-prepared to present their side of the story and effectively respond to opposing counsel’s questions.

Representing Investment Advisers

In addition to advocating for investors in securities disputes, The Strause Law Group is frequently retained to represent FINRA members in matters related to:

• Promissory notes
• Noncompete agreements
• Expungement
• FINRA investigations

Having defended many financial advisers in these matters, we are mindful of the ramifications that these claims have on our clients’ personal and professional lives. As a result, we seek to limit the expense and time associated with litigation. Should negotiation or arbitration fail to secure optimal results, our attorneys can then support our client’s case in court. We prepare every case as though it will be tried, ready to pursue this course of action when necessary.

Schedule A Claim Assessment To Learn Your Options

Our lawyers promptly respond to client inquiries. To reach us online, complete our contact form. Connect with us over the phone at 502-498-8268 or 859-428-7029.