North Carolina Securities Attorney Representing Investors and Investment Professionals

During the past three decades, the Mr. Whiteman has assisted hundreds of clients with securities law matters. His cases have included the following:
  • Investor lawsuits and arbitrations
  • Claims against broker-dealers, registered investment advisors, investment promoters, and insurance salesmen
  • Complex federal and state court litigation and individual customer arbitrations
  • Class actions
  • Regulatory investigations of brokers and advisers
  • Enforcement actions brought by the U.S. Securities and Exchange Commission, FINRA, and state securities regulators
  • Wrongful termination and Form U-5 defamation cases brought by brokers against their employers
Whiteman Law Firm offers vigorous and cost-effective representation when disputes involve the application of the securities laws. We handle cases at all levels of the federal and state courts systems and before regulatory agencies. We provide our clients with candid assessments of their cases and work hard to keep clients informed on the status of matters entrusted to us. We offer a variety of fee arrangements including hourly, flat fee, or contingency agreements.

Investor Lawsuits and Arbitrations

We represent individuals and businesses who have suffered financial losses due to fraudulent investment schemes sold by unscrupulous or inept investment promoters, stockbrokers, investment advisors or insurance salesmen. Read more about our securities litigation and arbitration practice.

Complex Securities Litigation

In addition to investor claims against financial advisors, we represent clients in large, complex securities fraud cases involving fraud, breach of fiduciary duty, violation of federal and state securities laws, ERISA claims, failure to register, sales by unlicensed salesmen. We have assisted federal and state prosecutors in proving claims against victims of securities fraud.

Class Actions

We believe that investors often stand the best chance of recovering losses by pursuing their losses on an individual basis. However, there many instances in which the nature and size of the claim makes a securities class action the most appropriate means for addressing violations of the securities laws. Where appropriate, we work with large, national class action firms that have the expertise and resources needed to pursue a particular type of claim.

Regulatory Investigations and Enforcement Actions

Whiteman Law Firm represents financial advisors in investigations and disciplinary proceedings brought by the SEC, FINRA, and state regulatory authorities. We assist clients in drafting responses to regulatory investigations and examinations, defend against disciplinary actions, provide defense of SEC and FINRA disciplinary actions for license termination or suspension, injunctions, and other sanctions.

Broker Wrongful Termination and U-5 Defamation Cases

Whiteman Law Firm represents brokers and investment advisers in cases involving wrongful termination, enforcement of non-solicitation and non-competition agreements, defense of promissory note collection claims, and Form U-5 defamation claims. These types of disputes are typically resolved through arbitration under the rules of FINRA. We achieved success in the following cases:
Disclaimer: Please note that the information on this page is provided for general information purposes only and may not reflect current law in your jurisdiction. The information contained herein should not be considered legal advice. You will not be considered a client of Whiteman Law Firm until we have signed an agreement for legal representation.

Reported Decisions

Court Decisions

Arbitration Decisions