Los Angeles Securities Law Attorneys
If you are a stock broker/dealer, you know your profession is highly regulated. You may have run afoul of the Securities and Exchange Commission (SEC); National Association of Securities Dealers (NASD); the stock exchange, futures exchange, or commodities exchange where you were trading; state laws, or a host of other regulatory agencies. It's easy to inadvertently violate a regulation and easy to get in trouble. Three strikes and you lose professional licensure.
You open your mail and find a letter that says you're being investigated.
Regulators are following up on a customer's complaint of churning. It is at this point that you should contact an attorney who knows securities law.
Contact Fields, Fehn & Sherwin at (310) 473-6338.
Unfortunately, many brokers feel that they can go it alone. Or they hire an attorney who is not skilled in securities law. That lawyer is likely to mishandle the case.
California Brokerage Defense Lawyers
Securities law is hostile and archaic. You need an experienced securities lawyer. Nothing is a substitute for years of experience and training. Our Los Angeles securities law firm's founding partner, H Tom Fehn, has 38 years of experience as a securities lawyer, and is very detail-oriented.
You need a law firm that has detailed knowledge of securities law, gained through years of experience. We provide security regulations defense with skill and dedication.
Contact Fields, Fehn & Sherwin at (310) 473-6338.
Brokers often have problems with lawsuits brought by former employers:
Loan paybacks: Brokers moving to a new firm were compensated with large up-front loans. If a broker's employment ends early, the investment firm will sometimes bring suit to recover that loan. These cases end up in arbitration or mediation before the NASD. At Fields, Fehn & Sherwin, our attorneys will defend you in these loan cases.
Were you wrongfully fired? Were you constructively fired, because the brokerage made it impossible for you to work there? At Fields, Fehn & Sherwin, we can advise you about your rights."
Unfair competition: When you moved to a different brokerage firm, you notified your clients, and they followed you. Now, your former employer has sued you. They claim you stole their customer list. We will defend your actions.
Contact Fields, Fehn & Sherwin at (310) 473-6338 for a consultation about customer/broker disputes, securities enforcement, and regulation.
Fields, Fehn & Sherwin
Securities Law Attorneys in Los Angeles, California
11755 Wilshire Boulevard
15th Floor
Los Angeles, CA 90025
Phone: (310) 473-6338
Fax (310) 473-8508
Email
We will evaluate your case for free.
Evening and weekend appointments available
