The Securities Lawyers protect investors by lobbying Congress and working with FINRA (the Financial Industry Regulatory Authority) to enact laws and regulations that prevent retirement funds from being lost in the first place. At the same time, we fight every day 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.
The Securities Lawyers is comprised of the securities attorneys from the Securities Litigation and Arbitration Team for Halling & Cayo, S.C. The firm of Halling & Cayo, S.C., which was established in 1970, and is located in the Third Ward in downtown Milwaukee, WI, provides 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 cost-effective and goal-oriented solutions.
Our Securities Litigation Team
Attorney Sean M. Sweeney is the Head of the Securities Litigation Group that works alongside a talented team of attorneys on a wide range of cases, including securities fraud, stock broker employment disputes, and FINRA arbitration. A strong commitment and focus is placed on providing the personalized attention that one would receive at a small law firm, while still receiving high-quality representation. When you retain us for your case, you will receive personalized, hands-on involvement from a partner-level attorney.
“WE ONLY GET PAID IF WE WIN.The Securities Lawyers
Our fee is a percentage of what we actually recover for you. There is no upfront fee.”
For any client with a potential securities claim, we will provide:
- Free consultation to discuss and review your claim.
- An explanation of the time, commitment, and process for FINRA arbitration (the most common forum for these claims).
- WE ONLY GET PAID IF WE WIN. Our fee is a percentage of what we actually recover for you. There is no upfront fee.
We understand that by the time you realize what has happened in your account, the last thing you want to do is throw more money at a lawyer trying to recover what was lost. That is why we work on a contingent fee basis for these claims. This aligns our interests with yours, which is to resolve the matter as quickly as possible for as large of a recovery as possible.
The Rules of FINRA Arbitration...
dictate that the final hearing takes place in the FINRA service location closest to where the claimant (the investor) lives. However, every other aspect of the proceeding is handled on the FINRA web portal and over the phone. This means we can represent investors nationwide. We represent clients in a broad range of cases, including: misrepresentations, customer specific and reasonable basis unsuitability, breach of fiduciary duty, uniform securities law violation, unjust enrichment, and negligence/unsuitable recommendations.
“I am totally satisfied with the representation by Halling & Cayo Law Firm, Sean Sweeney and his team. They exceeded my expectations especially based on our authorized minimum expectations and their exceeding those by significant amounts.”Bill B.
“Sean (and his team) did a wonderful job handling my case. He kept me informed every step of the way and was always willing to answer my endless and sometimes repetitive questions!”Kathy M.
Please take a moment to rate the service you received from The Securities Lawyers.
What is “Buying on Margin” and What Triggers a Margin
By Kenneth Baker 3/19/19
Investigating Wells Fargo Advisors in Appleton, Wisconsin
By Sean Sweeney 2/25/19
Watch out for Bad Brokers
By Daniel O'Brien 2/6/19
Ten Ways to Identify Risk in Your Portfolio
By Kenneth Baker 1/25/19
“At The Securities Lawyers, you get hands-on involvement from a partner level attorney. If I'm 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