Stock Fraud Lawyer

While there is no assurance that any client will obtain a recovery, or obtain a favorable award at the time of hearing, the Guiliano Law firm has represented hundreds of clients, and has recovered millions of dollars for defrauded investors in NASD Securities Arbitrations.

Our practice is national in scope. We regularly appear in customer initiated, investment related proceedings and arbitrations before the NASD and the NYSE in many states throughout the country and enjoy, as permitted by law, a multi-jurisdictional practice of law.

Our practice is, and always has been, limited to the litigation of securities related matters against stockbrokers, brokerage firms and investment professionals for fraud, the sale of unsuitable investments, churning or excessive activity, failure to supervise, breach of fiduciary duty, and the sale of unregistered securities.

The determination for the need for legal services and the choice of a lawyer are extremely important decisions that should not be based solely on advertisements or self proclaimed expertise. However, potential clients ought to be weary of lawyers or law firms seeking large up-front, non-contingent, or non-refundable retainers, or fees to write demand letters to brokerage firms seeking recovery of damages or investment losses without filing claims in arbitration. In our experience, no one has ever made a meaningful recovery simply by writing a demand letter. Brokerage firms routinely deny claims based upon market conditions and documents completed and created by the offending broker.

If you have been the victim of securities fraud, unsuitable or inappropriate investment advice, you should contact us for a free consultation. Our services are offered on a contingent fee basis. We will receive payment for services in connection with your case only if there is a recovery. In the event that there is no recovery, we will not be entitled to a fee for services rendered. You will not be required to advance any fees to the firm during the course of the litigation.

On consideration for undertaking your representation a securities fraud related matter or securities fraud arbitration, we typically charge a contingent fee equal to one third of the total amount of any settlement, award, or recovery, with the remainder to be distributed to you, less out of pocket costs, if any. Our costs are limited and typically include only the costs of outside vendors for the photocopying of exhibits and discovery documents, courier costs, and other actual expenses incurred by our firm. We do not incur expenses without the permission of our clients. In matters involving clients in other states, we do not charge for travel, lodging or other related expenses.

The client's only obligation is to fully cooperate in discovery and to make themselves available in connection with the preparation and participation at a final hearing. In the event that a settlement, award, or recovery is not made, clients have no financial or other obligation to us.

You can complain to the securities regulatory agencies. Thousands of people with legitimate complaints contact those regulators every year, and very few get any money back and these cases are generally limited to forgery, criminal acts, and the outright stealing taking of money or property.

These agencies are charged with enforcing laws, not with recovering damages for individuals. Frequently, in cases where the securities regulators have found insufficient evidence to warrant a "finding" of the violation of the federal securities laws, investors have made substantial civil recoveries.

When customers complain to securities regulators, the brokerage firms are provided an opportunity to respond, with their own self-serving and untested version of the facts, and there is insufficient evidence to show a violation of the law, the brokerage firms seek to use this finding against the client in a civil proceeding in arbitration.

Securities regulators do not recover money for investors.

When these organizations "take action" that means they fine the brokerage firms and/or they reprimand brokers; they do not recover money for investors.

In many situations where people complain and complain to the regulators. When they finally figure out that they are not going to get their money back, it is often too late to file a case in arbitration

The time spent waiting for a regulator to respond to a complaint, or the time waiting for a brokerage firm from responding to a customer complaint do not stop the clock on the statute of limitation.

If you fail to do file an action within this period, your claim may be potentially barred by the statute of limitations.

All claims arising under the federal securities laws must be brought within a specified time from the discovery of these claims, or within the occurrence of the events giving rise to your claims, whichever is shorter.

Investors who have qualified legal representation consistently do better in securities arbitration proceedings. If you are going to hire an investment fraud attorney, do so as soon as possible. DO NOT talk to the brokerage except through an attorney. This includes e-mails. Talking to the brokerage is one of the biggest mistakes investors make, because of the risk of making prior inconsistent statements, advancing legally incorrect theories of recovery, or by omitting to state all appropriate instances of misconduct and grounds for recovery.

There is no cost or obligation to have your claim evaluated by us. All consultations are free.