Your California securities broker and brokerage firm, have both state and federal laws that must be followed in order to perform their fiduciary duties with regard to their investment clients. The United States Securities Exchange Commission and the California Department of Corporation, Securities Regulations Division have statutes in place to protect you, the investor, from fraudulent and/or negligent activity at the hands of your investment advisors. With the help of a knowledgeable California arbitration attorney from our firm, you can file a claim to hold the responsible parties liable for any losses you may have incurred due to broker or brokerage firm misconduct.
Common areas that can result in claims being filed against a broker or brokerage firm when state securities laws are violated include:
When your broker or brokerage firm violates state securities laws which result in a significant loss for you regarding your securities investment, it's important to have the experience and skill of the legal professionals from our firm to help you sort things out.
State Securities Attorney Serving California
Trying to determine on your own if your stock broker or brokerage firm is acting fraudulently can be a tricky undertaking. With a little help from our proven and trusted lawyers, we can assess the situation to determine if your concerns are warranted and if so hold the responsible parties liable. With 35 years of experience representing clients in the field of securities fraud, the legal professionals at The Law Offices of Jonathan W. Evans & Associates can make a distinct difference in the outcome of your securities dispute. We are committed to taking the time to get to know you and every detail of your case in order to build a successful strategy for resolving your securities challenge.
Contact a California state securities lawyer from our firm today to learn more about your securities fraud rights and concerns.
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