Securities Law Arbitration & Mediation

Provided expert testimony in several matters, including compliance with federal and state law (Cal. Corp Code 25400 et. seq. & 1933 and 1934 Securities Act) as well as conducted hundreds of Arbitrations and/ or Mediations in the fields of securities & and or securities fraud, non-suitability, failure to execute trades, breach of broker-dealer standard of care; failure to disclose, unsuitability, excess and breach of fiduciary duty on behalf of the American Arbitration Association, as well as Pacific & New York Stock Exchanges.

Represented numerous clients re security issues; including asset purchases, acquisitions, broker disputes; suitability issues; failure to execute authorized trades; and breach of fiduciary duty issues as well as standard of care issues. Remaining aspects of my private practice of law includes contract and business transactions and other civil litigation, licensure issues; as well as real estate; software, licensing, and development contracts & business transactions between the USA and Japan.

Animated Social Media Icons Powered by Acurax Wordpress Development Company
Check Our FeedVisit Us On LinkedinVisit Us On Google Plus