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About The Firm
Nicholas J. Guiliano, Esquire
Seth M. Friedman, Esquire
Thomas E. Hynes, Esquire
Sara J. Saba. Esquire
Kate Sherlock Guiliano, Senior Paralegal
FINRA Securities Arbitration
The Legal Basis for Arbitration
The Securities Arbitration Process
Claim Arbitrability
Who Is A “Customer”
Member’s Business Activities
Arbitration Claim Eligibility
The Arbitrators
FINRA Discovery
Damages
Common Claims
Boiler-Room High Pressure Sales
Breach of Fiduciary Duty
Churning Or Excessive Activity
Conflicts Of Interest
Excessive Markups And Fees
Excessive Trading Or Churning
Failure to Conduct Due Diligence
Failure to Disclose Risk
Failure to Diversify
Failure to Execute
Failure to Supervise
Failure to Warn
False Statements and Omissions
Financial Suicide
Forgery – Document Alteration
Margin Account Fraud
Misappropriation of Customer Funds
Negligent Retirement Planning
Retail Bank Customer Referrals
Retirement Fund Fraud
Selling Away
Stockbroker Misconduct
Stockbroker Negligence
Stockbroker Theft
Unauthorized Trading
Unsuitable Investment Recommendations
Wrongful Investment Advisor Referral
Investment Products
Alternative Investments
Bond Funds
Complex Derivative Products
FS Energy & Power Fund
GPB Automotive Portfolio, LP
GWG Class L Bonds
Hedge Funds
High Yield Bond Funds
Hospitality Investors Trust REIT
Inverse Leveraged ETF Funds
Municipal Bonds
Mutual Fund Fraud
Noble Royalty Access Funds
Non-Traded Real Estate Investment Trusts (REITs)
NorthStar Healthcare Income Fund
Penny Stocks – Low Priced Securities
Ponzi Schemes
Private Placements
Reverse Convertible Securities
Shopoff Commercial Growth & Income Fund
Structured Products
Ultra-Short Bond Funds
Investor Resources
News
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Awards
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Guiliano Law Group, P.C.
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