claire@smslawgroup.com
(310) 401-1662

Securities Law and Litigation

securities law and litigation

Securities Law and Litigation

We represent clients in wide variety of securities and financial litigation matters. Our work in this area includes representing individuals in mediation, arbitration and litigation, for losses sustained because of the wrongdoings of brokers and brokerage firms in the financial and securities industry; most of which involve claims of unsuitability, breach of fiduciary duty or churning. However, our experience goes well beyond customer dispute issues and includes broker-dealer employment cases involving claims of wrongful termination, harassment, discrimination, defamation and theft.

  • Our securities practice handles matters that may arise before the:
  • Financial Industry Regulatory Authority Dispute Resolution
  • Securities and Exchange Commission
  • American Arbitration Association National Futures Association
  • State and federal courts.

We have experience representing clients in disputes against Bank of America Securities, Charles Schwab, Merrill Lynch Pierce Fenner and Smith, and Wedbush Morgan, among others.

We would like to assist you in reclaiming what has been lost. Don’t let investment advisor or broker misconduct go unpunished. Contact us to arrange for a confidential consultation with one of our experienced attorneys.