Dallas FINRA Attorney

Ted Anderson, Attorney Pat Milfeld, Paralegal

Ted Anderson, Attorney
Pat Milfeld, Paralegal

Kilgore & Kilgore’s Texas FINRA lawyers help investors damaged by account churning, unsuitable investments or breach of trust by their stockbrokers, professionals or securities dealers submit their claims for FINRA resolution. Kilgore & Kilgore’s Texas FINRA lawyers have successfully defended securities employees from claims and charges made by their employers.

From securities litigation to shareholder lawsuits for economic failure, we bring actions on behalf of investors claiming misconduct, attempts to conceal negligent activities and other dubious behavior by securities dealers and stockbrokers.

Below are some examples of the many FINRA cases that our Dallas FINRA arbitration lawyers handled:

  • Claim on behalf of a family estate against brokers involving churning and investment suitability;
  • Claim on behalf of a broker terminated from a securities dealer involving defamation and disparagement;
  • Claim that a financial institution wrongfully forfeited a financial advisor’s retirement and wealth accumulation account;
  • Claim that a broker and broker-dealer breached their fiduciary relationship of trust with their client.
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Build a Law Team

We respect established relationships with corporate counsel and frequently joint ventures with other lawyers representing companies wishing to create legal teams with adequate resources. We receive most of our business referrals from other lawyers. When a conflict arises or there is a need for local or trial counsel, we stand ready to support the team in whatever configuration makes the most sense.

Our Clients Tell Us

Click on this link to read some of the many client testimonials that people have sent to thank our securities fraud attorneys for getting them back on track. Kilgore & Kilgore can do the same for you.

Reach Out to Us

To learn more about our FINRA arbitration practice or to schedule an appointment to discuss matters in confidence with a securities fraud lawyer at our Dallas office, contact us today. We offer a free review of the facts of your case with a Kilgore & Kilgore attorney.

Testimonials
“Bill Masterson listened to my story and understood my case at a time when I felt helpless. Through the FINRA process, Bill Masterson obtained a settlement and successfully got my U5/U4 from a large financial institution expunged so that I can work in the industry again. The institution would have won if I had fought them by myself, but Bill Masterson remained composed and confident. After working with Bill Masterson, I am happy to say I can now get my career back. Many thanks to Bill Masterson and his team.”
– HD, FINRA Mediation and Arbitration, 2016

“I was fired because of a report filed with FINRA stating I and others in my company were under investigation by a federal agency for our professional activities. I would unequivocally recommend the Dallas law firm of Kilgore & Kilgore because of how they handled my case. Robert Thornton and Ted Anderson were not intimidated by a politically powerful, multi-national corporation in the pursuit of what was right and fair. They never gave up. They cared about my interests. They knew what they were doing and prevailed. I deeply thank the FINRA Arbitration Judges for their dedicated efforts, independence, knowledge, and sense of justice.”
– MS, Local Government Bond Broker, Wrongful Termination and Defamation, Case Settled in 2011 and 2014, Respectively

Citations

Defamation and Expungement of Reason for Termination:
FINRA Dispute Resolution, FINRA Arbitation No. 16-02761, dated September 21, 2018, in the matter of Haney and Staton v. Deutsche Bank Securities, Inc.

Breach of contract, fraud, tortious interference with business relations and defamation:
FINRA Dispute Resolution, FINRA Arbitration No. 10-03097, dated November 11, 2011, in the matter of Schonhorst v. RBC Capital Markets Corp., f/k/a RBC Dain Rauscher, Inc., and William Gumbert

Libel and slander on U-5 Form and wrongful termination:
FINRA Dispute Resolution, FINRA CLAIM No. 13-02311, dated December 16, 2014, in the matter of Schonhorst v. RBC Capital Markets Corp., f/k/a RBC Dain Rauscher, Inc., and William Gumbert

Petition to vacate the FINRA arbitration award
was denied:
Clubine v. Southwest Securities, Inc.

Articles
Two FINRA Arbitrations and an Innocent Broker Clears His Reputation By Robert M. Thornton, Attorney, Kilgore & Kilgore PLLC
Every once in a while, you get a FINRA arbitration case that reminds you of why you became a FINRA arbitration lawyer in the first place. That was the case with Kilgore & Kilgore’s representation of Mel Schonhorst, a former managing director, financial advisor and bond executive with… Read More
A Banker’s Seven-Year Fight for His Reputation Against FINRA By Richard Williamson, March 23, 2014, The Bond Buyer Read More
Schonhorst v. Dane-Rauscher, LLC Wrongful discharge of securities broker results in large FINRA award for Kilgore & Kilgore’s client. Read More
FINRA’s Class Action Rule, Not as Simple as it Seems The class action rule issued by FINRA has been the subject of litigation and debate, requiring strategic decisions to be made with profound implications… Read More