Super Lawyers
Million Dollar Advocates Forum
BBB Accredited Business

California Securities Attorneys

We are permitted to practice in California, and across the nation, either directly through the Financial Industry Regulatory Authority (FINRA) or by association with local counsel. In fact, the vast majority of securities complaints are not adjudicated in court, but are instead arbitrated in front of a FINRA panel. An arbitration is a binding form of Alternative Dispute Resolution and all FINRA member firms have agreed contractually to submit to arbitration with FINRA, in the event of a dispute.

How are California Investors Protected?

Investors in the State of California are ensured protections by a variety of securities laws and regulations, including, but not limited to, the California Code of Regulations, California Corporations Code, California Financial Code, and Corporate Securities Law of 1968. These laws, in conjunction with FINRA rules and state and federal securities law, give California investors the right to seek financial damages against financial advisers and stockbrokers.

The California Department of Business Oversight enforces California securities regulations by overseeing stockbrokers and financial advisers in the state. However, the California Department of Business Oversight has no power to represent investors in private arbitrations or lawsuits. Furthermore, the California Department of Business Oversight cannot enforce the return of lost money to investors. That is why we encourage investors to retain a skilled securities attorney to seek the recovery of lost their lost investments.

Why are We the Right Attorneys?

We get results. While we cannot promise results, our securities attorneys have recovered millions of dollars on behalf of our clients. We have a proven record of success. Both of our founding partners are SuperLawyers®, and our firm has received several industry honors – the Avvo Client’s Choice Award for Arbitration, for example, as well as a rating of Preeminent by Martindale-Hubbell. Our attorneys are frequently quoted in the media on investment related concerns, appearing in trade magazines and national media including the Wall Street Journal and ABC News.

We are different. We bring the benefit of insider expertise: our securities attorneys have years of experience defending brokerage and advisory firms against investor claims. Now, every securities attorney in our firm works exclusively for investors. Our attorneys use their years working for the “enemy” to advocate on behalf of investors.

We get only paid if you do. Our attorneys work on a contingency basis, which means we only take a fee if their clients recover lost funds. We offer free telephone consultations in California and across the nation.

What Should You do?

If you or someone you know lost money investing with a stockbroker or investment adviser in California, you may be entitled to recover your losses. Your time to file a claim with FINRA is limited, so it is essential that you act immediately and contact an experienced securities attorney today.

Our securities fraud attorneys have worked with dozens of investors from California, and we serve the following cities: Los Angeles, San Jose, San Diego, San Francisco, Sacramento, Fresno, Long Beach, Oakland, Anaheim, and more. Don’t delay – contact us today.