Our Document Retention Policy
We do not retain original client documents. In connection with the investigation of any new matter, potential clients are free to send us original documents, as long as they are transmitted by a secure and trackable means. Potential clients are also urged, where possible, to send us documents and their New Client Questionnaire, for our review by e-mail or via electronic means, including by facsimile or telecopier, which are received and stored in our office electronically.
Upon the completion of any case, all documents belonging to the client are returned to the client. We do not typically maintain or physically store any documents (including our work-product) after a period of four years elapses from the final resolution of any matter.
Securities arbitration and litigation in general is very document or paper intensive. In connection with discovery in any particular case, it is not uncommon that we receive from the Respondent brokerage firm thousands of pages of documents. We uniformly accept the production of these documents electronically on Compact Diskette in an acceptable Adobe.pdf format.
It is also not uncommon that our clients, in performing upon their discovery obligations, and in providing us with important documents relating to their case, also provide to us thousands of documents.
Rather than having these documents copied, sequentially Bates stamped or numbered, copied again with the sequential numbering, and then transported to the opposing party, these documents are scanned or imaged, assigned sequential numbers or Bates stamps, and produced on Compact Diskette. Not only does this significantly reduce our copy costs, our transportation costs, and storage costs, it also substantially helps the environment.
Also, since many clients do not have full copies of all documents that they may have received from their brokerage firm, the imaging of these documents on Compact Diskette allows us to provide copies of these documents to our clients, for their records, at little or no cost.
In addition, all Statements of Claim are presently filed with FINRA, on-line, thereby obviating the need to make multiple copies of these documents for service upon Respondent(s) by mail or other means. While we maintain physical copies of all documents and pleadings in every case, most law firms representing Respondents also transmit most important documents to us by electronic means.
Moreover, during the course of any arbitration proceeding, certain important documents, such as Answers, Discovery Requests, Discovery Objections, Scheduling Orders, Motions, Responsive Motions, and Briefs, including Pre-Hearing Memoranda, are transmitted to our clients. The communication and transmission of these documents electronically, or via e-mail, also significantly reduces our reproduction costs and transmission costs, and also helps the environment.
Guiliano Law Group
Our practice is limited to the representation of investors. 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.
OUR PRACTICE AREAS
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.
