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STOCKBROKER AND SECURITIES DISPUTES SINCE 1973 Selected as a Northern California Super Lawyer in the practice of Securities Litigation We are pleased to introduce you to the Law Offices of William P. Torngren. We Started with the Philosophy of Delivering Quality Through Focus In 1994, Mr. Torngren started his own firm. He wanted a practice that allowed him to work closely with clients to find solutions to problems within narrowly defined areas of practice. He seeks to deliver quality through focus. Consistent with the philosophy upon which our firm was started, we strive to do our best for our clients. Accordingly, we seek to provide high quality and personalized professional services at a fair price to our clients. We take pride in finding creative and effective solutions to disputes. We believe that an attorney should be part of problem solving rather than a source of problems. Since 1973, Mr. Torngren has represented clients in investment fraud, securities industry, stockbroker, competitive, and employment matters. Our experience includes cases in federal and state courts, in FINRA, AAA, and exchange arbitration, and before regulators. Our Practice and Clients – An Overview We represent investors and pension plans when they have lost money because of wrongful acts in the sale and recommendation of stock and other investments. Our cases include many types of abuses including fraud, breach of fiduciary duty, stockbroker negligence, excessive trading, unsuitable transactions, market manipulation, and other deceptive practices. We also represent securities professionals, attorneys, accountants, and issuers. We advise on securities compliance. We defend against allegations of fraud, misleading filings, self-dealing, selling unsuitable investments, selling away, and insider trading. This includes investigations by the SEC, the California Department of Corporations, and FINRA, as well as investor actions. Additionally, we represent account executives in disputes arising out of their affiliation with or termination by brokerage firms, including their right to compete and bonus matters. As an outgrowth of representing account executives, we expanded our practice to represent employees in disputes with their employers. This includes wage and hour class action litigation and arbitration. We believe that prevention is important in the area of investment fraud and stockbroker abuses. Therefore, we support and promote investor and industry education. We are available for panels and to speak on securities compliance, investment fraud and remedies, and professional malpractice. Finally, we represent shareholders and professionals in disputes regarding their rights, their interests in partnerships, corporations, and other business ventures, and fair payment for those interests. This includes disputes involving competitive rights and abuses.
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