The Process

Once we determine that we are permitted to undertake your representation, and determine that no actual or potential conflict of interest may exist, we may offer to investigate or evaluate your potential claim.

In order for us to evaluate your case or claims, it is important that you complete our New Client Questionnaire, as accurately and completely as you can, and return it to us with all the documents associated with your account, including, to the extent possible, you new account forms, customer statements, confirmations, correspondence, complaints (of any kind), risk analyses, investor questionnaires, or any other documents you may have or that your feel are important to your case or claim.

You may send us copies of these documents, or you can send your original documents, provided that you send them in a secure manner.

By permitting us to review or evaluate any potential claim you may have, before we representation is offer to you a written fee agreement formally undertaking your representation in we are assuming no responsibility, and shall not be responsible should it later be determined that any putative claim was not brought in a timely manner, or is forever barred or lost, as a result of the applicable statute of limitation. Potential clients are also encouraged to send us documents, when possible, by electronic means.

What happens if you decide to undertake my representation?

If we decide to undertake your representation, we provide to you a written fee agreement setting forth the scope of our representation, the terms of our compensation, and our respective rights and responsibilities. Except with respect to confidentiality, it is only when this written offer is made and accepted that an attorney client relationship is effected.

We then draft a Statement of Claim, which is a formal document setting forth the facts and the legal basis of your claim, for your review and comment, along with a Uniform Submission Agreement agreeing to be bound by the Code of Arbitration Procedure.

What happens if you decide not to undertake my representation?

If we decide not to undertake your representation, we return any original documents that you may have provided us to you, we destroy copies of any documents you may have provided to us, and we sent to you a written communication, as promptly as possible, indicating that we have declined to accept your representation.

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.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at