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Areas of Practice | Typical Investment Problems STOCKBROKER AND SECURITIES DISPUTES SINCE 1973 Our years of experience in stockbroker and securities industry and compliance, as well as competitive, matters is extensive and wide ranging. We use it in our narrowly focused practice areas:
Stockbroker and Securities Industry Abuses and Practices The bulk of our practice involves stockbroker and securities industry matters. We handle cases that run the gamut of abuses and practices. They include:
Generally, we represent customers of stockbrokers, investors, and pension plans when they have lost money because of wrongful acts in the sale or recommendation of investments. Because most customers of brokerage firms have signed agreements under which they may be compelled to arbitrate disputes, we appear most often in arbitrations conducted by the National Association of Securities Dealers (“NASD”) and stock exchanges. But we also have represented customers, investors, and pension plans in federal and state courts. Occasionally, we represent securities professionals including stockbrokers in lawsuits or arbitration cases. Even though we have defended many types of abuses in the past, our representation of stockbrokers, account executives, and registered representatives presently is limited:
Securities Compliance and Investigations With our wide-ranging background, we are ready to advise on securities compliance and to defend investigations by the SEC, the California Department of Corporations, and self-regulatory organizations. We have represented securities professionals, attorneys, accountants, issuers, and other agents in investigations concerning fraud, misleading filings, self-dealing, unlicensed transactions, selling unsuitable investments, selling away, insider trading, and unregistered transactions. We consult with attorneys, securities professionals, and investment issuers regarding compliance and other matters. The consultations have included whether a particular investment program involves the offer or sale of a security, what disclosures are required in connection with an investment, whether disclosures are adequate, what are the duties of persons offering or selling investment products, and stock valuation. We also consult with stockbrokers, account executives, and registered representatives regarding their rights and duties upon leaving or changing broker-dealers. In this capacity, we have reviewed and analyzed representative and employment agreements. Corporate Practices and Abuses Not all business transactions go smoothly. Not all business breakups are amicable. Businesses may try to restrict a former employee or owner from competing. Businesses have concerns about maintaining the confidentiality of their methods and customers. We are available to give advice or represent parties in disputes regarding corporate practices and abuses. We have represented shareholders and partners – including, among others, doctors and attorneys – who sought fair payment for their interests upon leaving or being removed from a firm or practice. We also have advised businesses in connection with leaving shareholders and partners. We frequently advise both businesses and individuals with respect to the scope of limitations on competition, the enforcement of covenants not to compete, and what constitutes unfair competition.
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