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Securities Law Updates & News

Who regulates stock brokers?

Sean Sweeney - May 18, 2023May 12, 2023

Are you a stock market investor, looking for answers about regulating your broker? As frustrating as it may be to… Read More →

What happens if a stock broker makes a mistake?

Sean Sweeney - May 12, 2023May 12, 2023

If your finances are managed by a stock broker, you may have concerns about what would happen if something went… Read More →

What happens if a stock broker loses your money?

Sean Sweeney - March 15, 2023March 1, 2023

If you’re thinking about investing your money with a stock broker, it’s important to know what you could be up… Read More →

How long does a FINRA Arbitration take?

Sean Sweeney - March 8, 2023March 1, 2023

FINRA arbitration is a way to settle disputes between investors and their brokerage firms. It is a process that is… Read More →

How do you initiate a FINRA Arbitration?

Sean Sweeney - March 1, 2023March 1, 2023

If you’re an investor who has been the victim of fraud or stockbroker misconduct, you may be wondering how to… Read More →

Can I sue my broker for Negligence?

Sean Sweeney - January 19, 2023

Yes, if you believe that your stock broker has been negligent in their duties to you, then you may be… Read More →

Don’t Put Your Money at Risk: How to Spot and Address Broker Misconduct

Sean Sweeney - January 4, 2023January 2, 2023

As retail investors, it is of utmost importance to stay informed about potential risks and broker misconduct that can have… Read More →

Protecting Your Assets: What Retirees Need to Know About Stock Broker Liability

Sean Sweeney - January 2, 2023

Are you a baby boomer nearing retirement? If so, it’s never been more important to safeguard your assets. With stock… Read More →

Claims related to the sale of Indexed Universal Life Insurance Policies

Seth Hill - October 17, 2022November 10, 2022

The Securities Lawyers at Halling & Cayo, S.C. are investigating potential claims related to the sale of Indexed Universal Life… Read More →

GPB Capital Holdings Founders Indicted – Investors Seeking Recovery

Sean Sweeney - February 7, 2021August 31, 2022

On the heals of GPB Capital Founder being indicted, the Securities Lawyers from Halling and Cayo, S.C. are investigating claims… Read More →

Financial advisors with SagePoint reviewed for alleged unsuitable recommendations to Zolla High Yield Fund

Sean Sweeney - August 17, 2020August 31, 2022

The Securities Lawyers are reviewing Between SAGEPOINT FINANCIAL ADVISORS for recommending Sagepoint customers invest with Family Wealth Legacy and Zolla… Read More →

Joseph Chu, Financial Advisor with RBC, involved in Customer Dispute seeking over $1.6 million in damages

Sean Sweeney - July 27, 2020August 31, 2022

Mr. Chu is accused of breaching his Fiduciary Duty and over-concentration in oil and gas investments The Securities Lawyers are… Read More →

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“At The Securities Lawyers, you get hands-on involvement from a partner level attorney. If I'm lead counsel on your case, there will be associates and paralegals assisting, but I will be the one trying your case, negotiating settlements, and mediating your case.”

SEAN M. SWEENEY
The Securities Lawyers
Halling & Cayo, S.C.
320 E Buffalo St Ste 611,
Milwaukee, WI 53202
(414) 755-5020
sms@hallingcayo.com
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ABOUT HALLING & CAYO, S.C.

The Securities Lawyers is comprised of the securities attorneys from the Securities Litigation and Arbitration Team for Halling & Cayo, S.C., providing quality legal representation on a wide range of issues, including business law and securities litigation. Our attorneys provide the highest caliber of legal services, with a friendly and informal approach that focuses on goal-oriented solutions.

PROTECTING INVESTORS, RECOVERING LOSSES.

It is not just a tagline, it defines what we do. We work every day to help protect investors by lobbying congress and working with FINRA to enact laws and regulations to prevent retirement funds from being lost in the first place. At the same time, we are fighting daily for our clients in court and arbitration to recover those funds they have already lost. Our primary focus is to help our clients get back on track towards the retirement they were building by recovering the funds that were lost or stolen as a result of their broker’s conduct.

*Disclaimer: the information provided by this website is for informational purposes only and should not be considered legal advice or a substitute for competent legal counsel.
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