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Securities Areas of Expertise
Registered Representative Abuse of Discretion
Broker-Dealer Supervision
Breach of Fiduciary Duty
Intra-Industry Compensation Disputes
Damage Analysis vs. Well Managed Account
Due Diligence in Regulation D Offerings
Broker-Dealer Employment Issues
Fiduciary Standard of Care for Financial Advisors
Financial Advisor Misrepresentation
Stockbroker Negligence
Registered Representative Outside Business Activities
Exchange-traded Fund (ETF) Suitability
Corporate Bonds
Hedge Funds
Suitability of Asset Allocation
Ponzi Schemes
Registered Investment Advisor (RIA) Regulations
Concentrated Securities Position
FINRA Rules & Codes
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