How do I know if I have a valid case?

The success of any case depends upon, or at least should depend upon, the merits of that particular case based upon the individual facts and circumstances surrounding your claim, and the legal theories or legally recognized causes of action with respect to your claim.

If you believe that you have been the victim of fraud, that you were lied to, that your broker did not follow your instructions, sold you investments that were defective, or were overly risky, based upon your overall financial condition and status, or made investment recommendations to you to advance his or her own personal financial interest, as opposed to yours, you may or may not have a valid claim, or successfully recover your investment losses in securities arbitration, however, you need to have your claim evaluated by a professional and actively pursue any claim you may have.Lawyers talking

If you do not formally bring your claim by filing an action in arbitration or any other forum or court of competent jurisdiction within a specified period of time of the events giving rise to your claim or your knowledge of notice of the facts giving rise to these claims, which varies under state and federal law, your claim may be barred or forever lost under the applicable statutes of limitations.

The failure to act, again with the passage of time, may also result in your case being ineligible for submission to arbitration before FINRA. No one, except perhaps the securities arbitration Panel that may ultimately decide your claim, whether you have a viable or valid claim.

Many cases are won, and lost, in securities arbitrations not based upon the facts, but the arbitration panel’s perception of the facts. The statistics  are not that encouraging. However, we cannot advise you, or provide you with any reasonable or reliable guidance, whether you have a valid claim.  We can only seek to determine if we, as a law firm, are willing invest our resources, to undertake your representation on a contingent fee, where our only form of compensation comes from the recovery of damages and the successful resolution of your case.

What documents do I need to provide to evaluate my case?

Once we determine that we are permitted in your jurisdiction 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.

FINRA brokercheckIn 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 by a secure and trackable means such as Federal Express, DHL, UPS, or Priority mail from the United States Post Office. As part of the firm’s Green Initiative, 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. arbitration notice

If we decide not to undertake your representation, you need not be discouraged, and should you actively consult with other qualified counsel in connection with investigation or the pursuit of any claim that you may have. In any event, you should not rely upon why we may have decided not to represent you, but if you fail to act, and formally file your claim, as set forth above, your claim may be forever barred or lost.

Generally, under the federal securities laws, all such claims must be brought within two (2) years from the date of discovery or notice of any such claim, or five (5) years from the date of the occurrence of the events giving rise to the claim(s), whichever is shorter. Each state may be different but generally under State law, all common law claims for common law fraud, breach of fiduciary duty, or other tort claims, must be brought within two (2) years of the date of discovery upon the exercise of reasonable diligence.  If you fail to bring your claims within these proscribed times, your claims may be forever lost or time barred.

Should I change brokers, or brokerage firms?

While some brokerage firms (it is a growing trend) request that clients who complain take their accounts elsewhere, it is not necessary that you close or transfer your accounts upon the filing of a Statement of Claim. However, if you have received what you believe to be tainted or wrongful investment advice from your broker or brokerage firm, you are no longer justified, or have any reasonable basis to rely upon the advice that individual or the integrity of that institution, and you may seek to engage an alternative investment firm or professional.

However, client are urged to thoroughly investigate any new potential financial advisor, stockbroker (link: Broker Check), or investment advisor, and be sure that their investment objectives, risk tolerance, and other important information is fully completed on all account forms or other documents before they sign or execute any of these forms.

Should I sell the securities that are the subject of my claim?

We also cannot provide you with any investment advice, and cannot predict if any of the securities you own, or which may be the subject of your arbitration claim, may increase or decrease in value. If you independently determine to hold these securities, and they decline in value, Respondent will argue that they are not responsible, and conversely, if  you continue to own these securities and they increase in value, Respondent will argue that your damages have been decreased. Investment decisions, generally, should be made without regard to the existence or anticipated outcome of any litigation, but in any event, we are unable to provide you with any investment related advice.

How long does the process take?

The entire securities arbitration process generally takes 12-15 months from the filing of the Statement of Claim to a final hearing. Respondents will have 45 days from the date they receive the Statement of Claim to answer, and most likely may request additional time (which will not affect the process). We will review the Answer and send it to you with our comments. We also seek your comments, as to factual matters or the existence of documents. scales of justice

Thereafter, receive a list of proposed FINRA Securities Arbitrators, their educational background and their occupational background. We research them, strike the ones perceived to be unsympathetic, rank the ones we think may be sympathetic to the facts in our case. Discovery is then prepared, and we also sent to you a list of documents that you will be required to provide to us for review and production to Respondents.

We have a telephonic conference or Initial Pre-Hearing Conference (“IPHC”) with the lawyers and the arbitrators which results in a scheduling order with respect to motions and final hearing dates. We also send a notice to our clients setting forth these important dates, and at each stage of the process. The final hearing will be 9-12 months from that conference, typically.

What are my responsibilities?

The Client’s responsibilities are to be candid with their counsel, and not omit facts, documents, or information that they do not believe is important, negative, or not helpful in their case. The client also has a duty to fully cooperate with respect to discovery, fully cooperate with the requests of counsel, and to make themselves available for their preparation and attendance at any final hearing.

If there is any reason, health related, or otherwise which may reasonably prevent you or an important witness from testifying at any final hearing, you should so advise us so as we may request leave to seek to preserve this testimony by deposition.

Should you receive notice or learn that any claim, or any security that is the subject of this arbitration, is also the subject or becomes the subject of a Class Action, you must advise us immediately and also may be required to opt-out and request to be excluded from any such Class Action, or else your arbitration claim may later be determined to have been included, and thereby barred in connection with the settlement or disposition of any Class Action.

To what extent any recovery may be taxable, or to what extent you may be required to itemize the payment of our legal fees from any recovery should be determined by your tax preparer. We are incompetent to provide tax advice, and hence cannot form an opinion or provide you with any reliable advice with respect to the tax-ability of any recovery.

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


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.

"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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