Securities in Ventura County

Common Securities Claim Patterns

Investment losses can involve more than a market decline. A securities claim may examine whether a broker, adviser, or brokerage firm made recommendations or handled an account in a manner that conflicted with the investor’s circumstances and stated objectives.

Conduct we evaluate:

• Misrepresentation Or Omission: Statements or missing information that may have affected an investment decision.
• Unauthorized Trading: Purchases or sales made without the investor’s authorization.
• Account Churning: Excessive trading or turnover that may generate commissions or fees.
• Unsuitable Investments: Recommendations that may not fit an investor’s objectives, risk tolerance, age, income, assets, or investment experience.
• Overconcentration: Placing too much of a portfolio in one security, sector, asset class, or investment vehicle.
• Failure To Supervise: Concerns involving oversight of a broker or account activity.
• Breach of Fiduciary Duty: Conduct that may violate duties owed to an investor.
• Hedge Fund Mismanagement: Disputes involving the management or handling of hedge fund investments.

Investment Products & Account Records

We handle disputes involving structured products, reverse convertibles, principal-protected notes, annuities, alternative investments, REITs, tenants-in-common interests, unit investment trusts, private placements, limited partnerships, stocks, bonds, mutual funds, and options.

Complex or less-liquid products can require careful review of disclosures, risk explanations, liquidity restrictions, valuations, fees, and suitability analysis. Relevant records may include account statements, trade confirmations, offering materials, prospectuses, subscription documents, and communications about recommendations.

FINRA Arbitration, Securities Mediation & Litigation

The available path depends on the parties, account agreements, facts, and legal remedies. Claims may involve California securities law, federal securities law, and FINRA rules, depending on the circumstances.

FINRA Arbitration:
FINRA arbitration generally includes a statement of claim, document exchange, evidence presentations, and a decision by an arbitrator or panel. An arbitration award is generally final and binding, with limited court review.

Securities Mediation:
Mediation is a voluntary process in which parties attempt to resolve a dispute through negotiated settlement. It is non-binding unless the parties reach and sign an enforceable settlement agreement.

Securities Litigation:
Litigation may be considered when arbitration isn’t available, mediation doesn’t resolve the matter, or court proceedings are appropriate based on the facts and available remedies. Deadlines can vary by claim and forum, so a timely review is important.

Discuss Your Investment-Loss Concerns

We represent only public customers, and 95% of our practice is devoted to securities arbitration. A free initial consultation gives you an opportunity to discuss the account history, conduct at issue, available records, possible forums, and timing concerns with our firm. We can help you understand the information that may be relevant to a securities claim without promising a particular result.