Because Experience Matters Let Us Fight for You

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Public Investors Advocate Bar Association

Martindale Award

Wronged Investors Have Options

Securities broker-dealers are also required by federal securities laws and self-regulatory guidelines to safeguard customer accounts from fraud and to properly monitor the behavior and business dealings of their associated individuals or stockbrokers who are engaged in the sale of securities or other investment-related activities. Investment losses have the power to seriously damage people’s lives. Investors frequently are unaware of the reason behind their investment losses or whether they have legal recourse. Many investors only point the finger at themselves. A lot of investors are also not aware that they must arbitrate their claims and may be able to recover their investment losses by bringing a lawsuit before the Financial Industry Regulatory Authority, or FINRA, which serves as the forum for the adjudication of these claims.

Investors who have been victimized have a responsibility to take action, otherwise their claims may be barred by operation of law, the passing of time since the event or events giving rise to their claims, and, in some cases, the discovery of these claims following the exercise of reasonable diligence. In order to assess your claims and understand your rights and obligations if you have experienced investment losses, you should speak with a securities or investment fraud attorney.

Securities Arbitration Claims

Legal and regulatory issues are commonly complex in securities arbitration claims. In order to tenaciously contest these allegations, securities broker-dealers frequently have access to almost limitless resources and highly skilled securities arbitration lawyers or counsel. Investor arbitration claims involving securities can be difficult to both prosecute and defend. This area of the law typically calls for knowledge and experience handling the pertinent legal issues, which frequently involve the application of federal securities laws, regulations, self-regulatory rules, specific state “blue-sky” laws, the common law, and navigating the FINRA Code of Arbitration Procedure.

You should hire top attorneys just like Wall Street does.

Wall Street Signage and American Flag We have fought for investors’ rights for more than 30 years. For small and large investors, including individuals, early retirees, trusts, pension plans, and large institutions, we have accepted and successfully litigated complex securities arbitration and other claims. These investors came to us from all over the world. We have knowledge that goes beyond the law. We are familiar with the rules, regulations, and practices of the securities industry as well as complex financial products.

For more than 30 years, it has served as the cornerstone of our practice and knowledge. Clients choose us because of our qualifications, standing, and track record. However, when we take on their representation, we take on more than just their needs as clients. We get results because we work arduously and zealously to achieve them, and we are especially proud of what our clients have said over the years about the caliber of our legal representation.

Investors Ought To Investigate

Investors have the right to rely on the expertise, experience, or trusted counsel of their financial professional, regardless of their background or wealth. Investors frequently turn to relatives, other close family members who work in finance, or  a religious or affinity group for advice. They might also rely on financial advisors who have been endorsed by their employers or companies. Many investors are recruited via free lunches or dinners, and they are then presented with a biased or even fraudulent presentation regarding a specific investment that frequently comes with high commissions. Everyone who invests has a right to the truth. But everyone who invests has a responsibility to do their research first as well.

Investors generally shouldn’t invest in anything they don’t fully understand. Anything that seems too good to be true probably is. Look into your financial advisor. Is your financial advisor a licensed investment advisor, a registered stockbroker, or both? Have you restricted your ability to file a lawsuit in court, before FINRA, or elsewhere? Does FINRA BrokerCheck provide information about previous customer complaints, arbitration claims, or legal actions taken against that person or their company? iPhone stock quotes What are the financial incentives for the stockbrokers? What are the financial incentives for the brokerage firm? Are these securities or financial products being recommended or sold in order to increase commissions and fees and advance the financial interests of the seller (typically at the expense of the investor)?

There is no such thing as a free lunch or dinner unless you’re a stockbroker holding an investor-recruitment seminar that is sponsored and paid for by the people who are selling the securities or other recommended investments. Promissory notes, direct investments, and other schemes should all be avoided. Is the brokerage firm authorized to sell you the securities? Are the securities being sold to you exempt from registration under state and federal law, or are they registered? Be watchful, and take action if you suspect something is amiss. The consequences of inaction are quite often disastrous. To find out your rights and obligations if you have experienced financial losses, you should speak with a securities arbitration and investment fraud attorney.

Hire The Best Lawyers

Investors would do well to research any potential legal counsel. We don’t mean to imply that the quality of the legal services to be provided by other lawyers is superior to the quality of the legal services to be provided by us. However, you shouldn’t solely rely on advertising, claims of expertise, or a law firm’s glitzy website. Look into them. Pose inquiries. Consult other experts. Many of our cases are referred to us by other attorneys, accountants, and even financial experts.

scales of justiceAsk potential attorneys if they or their firm have experience trying FINRA securities arbitration cases, and if so, how much time they have had the experience. At a final hearing, how many cases have they actually tried? What, if any, additional practice areas do they have? Do they belong to PIABA (Public Investors Advocacy Bar Association)? No matter the size of the firm, the person whose name is on the door will litigate or try your case instead of an associate? Are they accommodating to their customers? What do their previous customers think of them? Be cautious of representatives soliciting securities arbitration claims who are not licensed or who are not attorneys.

Be wary of promises made by anyone promising to win or to recover your investment losses or damages, including exemplary damages, interest, costs, lost profits, and attorney’s fees. Despite the fact that each case is unique, there is always a risk. It’s possible that they’re just saying what you want to hear. Only cases that have merit are accepted by us. We are litigators, not cheerleaders. We are a “boutique” law firm with national locations that only represents investors in securities arbitration claims against stockbrokers and their brokerages firm for misconduct, including securities fraud, negligence, breach of fiduciary duty, the recommendation of defective investment products, unsuitable investments, theft, selling away, and the failure to disclose material information to investors.

To recover your investment losses, we have the tools, expertise, and resources to compete with the biggest global financial and investment firms and the people connected to them. Due to the results we produce, our clients favor us. Because of our demeanor, familiarity with the pertinent legal issues, and the caliber of our work, arbitrators respect us, or at the very least pay attention to us. If anything, defense attorneys value our expertise. However, because we hold stockbrokers and their investment firms liable financially for the victims of their misconduct, they generally dislike us.

Contingent Fee Representation

We also back up our words with deeds (and resources). We provide our legal services on a contingent-fee basis, which means that we cover all costs up front and that there are no fees or costs (where allowed) unless we successfully recover money for you. Your duty is to assist us in pursuing your claims in a cooperative manner.

The best part is that, subject to any actual or potential conflicts of interest, we offer investors a free, no-obligation, confidential consultation to investigate any claims they may have if they have experienced investment losses, believe they may have been the victim of securities or investment fraud, or are seeking qualified counsel to represent them in a legal matter or securities arbitration claim. All claims are not accepted by us.

The evaluation or investigation of your claim, however, is quick and easy. For a free, no-obligation virtual consultation to discuss any securities-related claim you may have with an experienced securities arbitration lawyer, contact our office at any time. We are also always available by appointment. Time is of the essence.

Many injured investors choose not to take action before it is too late. Brokerage firms or securities broker-dealers shut down, seek bankruptcy protection from creditors, or are barred from the market by regulators, frequently for the same or similar wrongdoing committed against all or the majority of their other clients, including you. Within the securities industry, mergers and acquisitions often change the registration and identity of securities broker-dealers. Stockbrokers frequently switch companies, which may have negative effects for a number of reasons, especially if an investor continues to rely on tainted investment advice when deciding whether to buy, sell, or hold a particular security. finra arbitration attorney

Many resentful investors put off taking action. They frequently find it difficult to face reality. Confirmation bias is the term used by psychologists. “It is easier to fool people than to convince them that they have been fooled,” is a quote attributed to Mark Twain.

Due to embarrassment, many investors place the blame on themselves or do nothing. Many investors are unaware that they are not alone and that the FINRA securities arbitration process is a legal means of recovering investment losses caused by misconduct. Every claim has a deadline.

Only claims involving FINRA securities are admissible for arbitration before FINRA within six years of the events giving rise to those claims, and possibly even after those claims were discovered through the use of reasonable diligence.

According to state law, all claims for common law fraud, fiduciary duty violations, or other torts must be filed within two (2) years of the date on which they were discovered after exercising reasonable diligence. According to the federal securities laws, all such claims must be filed within two (2) years of the date on which any such claim was discovered or within five (5) years of the date on which the events giving rise to the claim(s) occurred, whichever comes first.

These claims may be permanently lost or time-barred if an aggrieved investor misses the deadline to file a formal lawsuit in a court of competent jurisdiction or before FINRA Dispute Resolution.

Time is therefore always of the essence, and if you believe you have been the victim of investment fraud or securities fraud, you should speak with a qualified securities arbitration attorney to learn more about your legal options.

We provide a free, confidential consultation regarding the assessment of these claims (subject to certain restrictions), and we represent investors on a contingent-fee basis, which means that we are not paid unless we are successful in recovering money for you. To learn more or to speak with one of our attorneys, get in touch with us today.


FINRA Arbitration

The litigation of individual and group investor claims against securities broker-dealers and investment professionals adjuducated in arbitration before the Financial Industry Regulatory Authority.

Defective Financial Products

Alternative Investments, Promissory Notes, Structured Products, High Yield Bond Funds, Non-Marketable Real Estate Investment Trusts, Inverse and Leveraged ETFs,  the Failure to Conduct Due Diligence.

Unsuitable Investments

Speculative or High Risk Investment Recommendations, Unsuitable Investment Strategies, Low Priced Securities, Customer Specific Unsuitability, Inappropriate Investment Recommendations.

Stockbroker Misconduct

Breach of Fiduciary Duty, Churing, Unauthorized Trading, Fraud, Stockbroker Theft, Ponzi Schemes, the Sale of Unapprovied investments.


1700 Market Street, Suite 1005
Philadelphia, PA 19103
Direct: (215) 413-8223
Toll Free: (877) 732-2889

If you believe that you have been the victim of securitiies or investment fraud fraud, contact us for a free confidential evaluation of your claim. See Important Disclaimer

We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

"First Name I Would Mention"

I had questions and sought a consultation regarding what I believed to have been inappropriate treatment by my brokerage firm. He took the time to give me a clear understanding of what was involved and clearly described next steps to resolve the matter. He did this in a concise, complete and friendly manner. Although in the scheme of things my matter was small. From what I have seen, if I ever had need of a securities lawyer or was asked to refer one to a friend, Nicholas would undoubtedly be the first name I would mention.

Keith (Avvo)

I had a problem with a dishonorable Financial Adviser! So I contacted Mr. Guiliano to see what I could do. Nick said I can't very well charge you for something you can do on your own! Then proceeded to tell me what to do. Because of the short amount of time and my untrustworthy financial adviser's not crossing tee's and dotting I's my life's savings is in the process of being transferred into 3 separate accounts. One's that will work best for me. Instead of one account that kept my money out of my reach! You will have a hard time finding a more upstanding Attorney then Mr. Guiliano!

Walter (Avvo)
"Successful in Achieving Results"

I was the one who contacted Nick through his website as my ex-wife had little or no knowledge of investments, and depended completely on the advice of the investment firm. Without specifics I can say that Nick (and his wife) were not only successful in achieving results in the case, but in the process were all that one could expect (and more) as shown in my overall ratings above. I would highly recommend him.

Joe S. (Avvo)
Excellent Attorney!

Nick represented my wife and I in a recent lawsuit. He was the best attorney we have ever used! Communication was great, he kept us updated regularly, he explained everything in great detail, gave us all our options, and most importantly we always felt he represented our best interest throughout the entire process. We would highly recommend Nick!

Brian F. (Avvo)

"One In A Million"

Nicholas is extremely knowledgeable regarding many facets of the sometimes complicated securities business. This comes from his first hand experience in the business prior to his decision to practice law. Nick is also very dedicated to staying abreast of the ever changing environment that is so prevalent in the investment world. Combine that with his drive and determination to get things done and you have one in a million!!!

Anthony S. (Avvo)
"Excellent Expertise In Securities Fraud"
Nick handled a securities fraud case for me. He is an expert in this field. He is extremely responsive with all forms of communication. Very competent and professional.
"Very Good To Work With"

My case was taken on a contingency basis. Even though it lasted about two years, the Guiliano law firm kept in contact with me, continued to research the case and brought it to a successful conclusion. They were very supportive of me in my first such experience and were very good to work with.

"Somebody you want on your side"

Personable and professional, he is the one to go to when investors are defrauded by Brokerage houses and Investment banks. Somebody you want on your side when things go wrong. He takes personal interest in every case and tries his best. Although I could not recover all my losses due to Fed/SEC action which was beyond his control, I would give Mr. Guiliano full marks on every count. He even worked with my accountants to help me write off losses due to fraud.

Ashok N. (Avvo)
"We are so very grateful"

My husband and I were lucky to find Nick after losing a substantial amount of money due to poor investing from a prominent company. He made us feel at ease right away and was always accessible for questions and concerns. Nick and his team were wonderful with gathering up all the pertinent information needed for our case, constantly in contact with us, answering all of our questions, which helped to make the process a lot less stressful. We are so very grateful to have had The Guiliano Law Firm represent us and the fact that they did it on a contingency basis made it possible to follow through. If not for them, we would never have been able to pursue this, financially or emotionally.

Stacey B. (Avvo)
"Man Of Integrity"

Nick is an incredibly decent Atty. He's a man of integrity, fairness, and honesty. You could see that it's wasn't just me who noticed, it was opposing counsel, at the end of the Zoom! I'm completely impressed with Nick and will keep him in my prayers. Thanks again!

"Fights for his clients like a bull dog"

I contacted Nicholas Guiliano for my 90 year old mother, who lives in Oregon to assist her in recovering from an unscrupulous financial manager who talked her into investing in some very high risk and speculative securities to reap high commissions. Mr Guiliano worked very hard to recover what he could for my mother. He is the best and fights for his clients like a bull dog to uphold their rights and protect their interests. I highly recommend Mr Guiliano and his firm when it comes to securities issues.

"Finest Litigation Attorneys"

I have been a Corporate Counsel for over 30 years having worked with Banks and large public companies. Nick is one of the finest litigation attorneys in the country.

Anthony P. (Google Business)
"Best Of The Best"

I have employed Nick Guiliano personally and on behalf of my clients in the past. Nick is absolutely the best securities lawyer in Philly if not the country. The best of the Best!

"Awesome Results"

I would like to take this opportunity to express my sincere congratulations for your awesome results. I want to acknowledge my appreciation and respect for their splendid professionalism and knowledge you have shown in handling the laws (previous and present), for arbitration over fraud litigations.

"More than most lawyers"

Mr. Guiliano is highly accomplished securities lawyer. He helped us secure a wonderful result in case where my husband and I lost almost all our lifesavings. He is also high compassionate, and did more than most lawyers have ever done for us, as he seems that he cares.

Mary S. (Avvo)
"Incredibly Resourceful"

Nick was incredibly resourceful and professional. His understanding of securities and investment fraud is unparalleled. He is indeed connected with all the powers to be , and is able to provide intellectual and cogent insights. He is tenacious in fighting for his clients, and will never relent. I was able to follow his recommendations and am glad I did.

Mark C. (Avvo)
"Superb Representation"

Mr. Guiliano (Nicholas) represented my mother and I in an investment case where it appeared the agent was preying on elderly people and steering them to improper investments to reap commissions. Mr Guilano did an excellent job of preparing the case and representing us. Although the case settled out of court, it was the best outcome expected for several technical reasons out of his control. He always kept us informed and provided sound recommendations. I would not hesitate to recommend Mr. Guiliano for any investment related case.

Bob W. (Avvo)
"Recommend Him Strongly"

I used Mr. Guiliano for a investment fraud case and he did a very good job. I got a good deal of my money back that had been lost due to risky investments I was put into by a prominent company. It was not a really big case, yet Mr. Guiliano was interested and responsive and kept on top of things for me. I would recommend him strongly.

Anne H. (Avvo)
"His Ability And Advice Paid Off"

We called Mr. Guiliano after reading his article in Forbes magazine. Although we though the statue of limitations might have run out on our case, we were thrilled when he took our case. Against the odds, he was able to get a settlement for us. He kept us informed and advised us on the proper course of action. We always felt confident with his ability and advice and it paid off. Highly recommend.

Cris (Avvo)
"Ability To Think Outside The Box"

Nick Guiliano came highly recommended to me and I was very fortunate that he agreed to take my case. His knowledge of the law and his ability to think outside the box amazed me more and more as my case progressed. His aggressive style and total dedication to me and my case gave me the confidence that we were going to prevail and we did. He is one of the few Attorneys that does not finish his work at end of the day. He was always thinking of ways to use his expertise and knowledge on my behalf. On a personal note, he is a very down to earth guy who makes you very comfortable and at ease. He gave me the ability to sleep at night knowing that my case was in his hands. I will always recommend him without any reservations. In my book he is “the Best”

Jerry V. (Avvo)
"Successful in Winning"

Nicholas Guiliano was successful in winning a case against one of the firms where I had invested. I had a safe investment until a young eager stock broker took over my account and slowly kept putting my money in risky stocks, all while I was on disability. Nick was able to get me a portion of my money back within 2 months. He always was available to speak, and very courteous. I am so grateful to have found Nick. Thank you Nick!
Jill I. (Avvo)

"Absolutely Fantastic"

Nick represented me when a stock broker took advantage of the money I had in my portfolio. He did an unbelievable job because most people thought I did not have a leg to stand on. He really knows his field. I am really thankful that I met Nick because he did a phenomenal job. I would highly recommend him.

Theresa S.
"Dependable and Accessible"

Philadelphia has lived up to it's reputation as having the best attorneys in the Country. I had been told I had a problem of having a Hedge Fund investment. He went to a lot of time and trouble to not take my case. What I really appreciate is his work ethic. He was very kind to me not only with the generosity of his time, but with his words of support. No civilian, like myself, wants a lawsuit but if I ever needed one, it is Mr, Guiliano who I would call upon to represent me. He is a good man.

Kathleen (Avvo)


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