626 Wilshire Blvd, Los Angeles, California, 90017
Practice Areas : Immigration Law
1933 S Broadway #1100, Los Angeles, California, 90007
Practice Areas : Criminal Law
11750 Ridge Rd, Nevada City, California, 95959
Practice Areas : Arbitration & Mediation
600 West Broadway, San Diego, California, 92101
Practice Areas : Securities Law
1010 Wilshire Blvd., Ste. 1404, Los Angeles, California, 90017
Practice Areas : Consumer Law
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These attorneys recover investment losses caused by broker and adviser misconduct: unsuitable recommendations, excessive trading, over-concentration, unauthorised transactions, misrepresentation of risk, selling away, elder financial exploitation and Ponzi schemes.
Most claims against brokerage firms proceed in FINRA arbitration rather than court, because the customer agreement requires it. Hearings are faster and less formal than trial, and awards are very hard to appeal.
Before you hire
- Gather account statements, confirmations, the new account form and any written recommendations. The suitability question is answered from those documents.
- Check the broker's record on FINRA BrokerCheck — prior complaints matter to a claim.
- Ask about the eligibility rule limiting how far back claims may be brought, and about contingency fee terms.
- Market losses alone are not a claim. Misconduct in how the account was handled is.
Securities law and white collar crime cover the regulatory and criminal sides.