Martindale-Hubbell
Sarasota County Bar Association
PIABA
LWRBA
Manatee Chamber of Comerce

Investment Regulation

In this section we’ll review the different areas of oversight governing investments.

What Does the SEC do?

The SEC (Securities Exchange Commission) serves to register and regulate investment companies. They are a US Government agency, and enforce laws pertaining to the financial industry.

Is FINRA a Government Agency?

No, FINRA (Financial Industry Regulatory Authority, Inc.) is an independent organization. They are a non profit group. Authorized by Congress, FINRA’s job is to protect investors.

Can I Write off Stock Losses?

If you lose more than you gain through investing, this is called a capital loss. You can reduce your tax liability by writing off a capital loss, but only to a certain extent.

Client Reviews
★★★★★
"My experience with Brad has been incredible. He has represented me on several issues over the last two years. He is always available to meet or talk about your case. He seems to really care about his client and doing all he can to get the best out come possible. Also his staff is client orientated and very helpful. Brad is more then my attorney, he is my friend. Brad is not your typical lawyer, he really cares about his client not billing hours." David Cusano
★★★★★
"Brad has been by my side for over 3 years now representing my company. I can always count on him to have my companies best interest at heart." Kory Souza
★★★★★
"Brad Gucciardo was everything you could want in a very difficult situation - he delivered!" Wayne