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PRACTICE AREAS

LITIGATION SERVICES

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SECURITIES LITIGATION AND INVESTMENT FRAUD

In most cases involving claims against investment advisors, broker-dealers, and registered representatives, claims are brought before a three-member panel of arbitrators. These arbitrations are administered by FINRA. The firm has extensive experience in FINRA matters. Typical cases involve negligence by financial advisors and a failure to supervise financial advisors by their employers, usually a broker-dealer.

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The Firm engages outside experts at the onset of each matter to determine the extent of investment losses. In many cases, financial losses are caused by the negligence of the financial advisor who invest their clients’ assets in unsuitable (improper) investments, or financial advisors investing client assets in over-concentrated investment positions. Similar claims may be made against investment advisors for selling unregistered securities, or investments that are not permitted to be sold by their employer. Investment fraud occurs when a promoter of an investment sells or solicits potential investments in fraudulent companies or ventures. In many cases, the investment that is sold to the investor is non-existent or exists solely for the purpose of raising funds for the promoter or seller of the investment. The Firm’s attorneys have litigated cases in both state and federal court involving investment fraud against investors.

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BUSINESS TO BUSINESS DISPUTES

Business disputes arise in a variety of contexts. Most businesses that work with suppliers, contractors, purchasers, or business partners runs the risk of disputes arising from contract disagreements. This may occur because one party does not receive the products or services to which it believes it is entitled, or another feels that it was not paid the proper price for its services. We advise business owners at every stage -- from risk management to the the management of a potential dispute, or litigation, mediation, or arbitration of claims and defenses.

 

COIN FRAUD

Gold and other precious metals—such as silver, platinum and palladium—have long been popular physical assets and investments. Coin and bullion investors buy and hold precious metals as a hedge against inflation and a refuge from fluctuating world economies. Unfortunately, the strong demand for gold and other precious metals has resulted in the rise of numerous dealers engaging in coin fraud and precious metals fraud. Typically, coin sellers will make outlandish claims regarding the value of coins or aggressively push the purchase of inferior coins on older investors.  The Firm represents investors that have been victimized by precious metals dealers and sellers.

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ARBITRATION AND MEDIATION

Alternative Dispute Resolution (“ADR”) is rapidly growing as the quickest, most cost-efficient way to resolve disputes. Many business contracts call for either mediation or arbitration as opposed to resolution of disputes in the court system. We work closely with clients to determine if mediation or arbitration is a viable option. We find that clients often prefer mediation of their disputes prior to arbitration or trial to save on further fees and costs and allow a neutral third-party to evaluate their claims and defenses. When mediating matters, we work with a wide range of experienced, industry specific mediators. Our team has extensive experience in conducting arbitrations in business-to-business disputes or defending clients in arbitrations brought by consumers, employees, or investors. We work with clients in most arbitral forums, including AAA, JAMS, and the CDR.

 

PERSONAL INJURY

The Firm represents individuals that have been injured by the negligence of others, including products liability matters. If you believe that you have a personal injury claim, please contact the Firm to discuss your potential matter.

 

BUSINESS TRANSACTIONS AND REAL ESTATE

 

REAL ESTATE LITIGATION

The Firm has a strategic approach to problem solving that proactively helps clients achieve their objectives in the most efficient and cost-effective manner for clients. The Firm represents clients in state and federal courts, arbitral organizations and other alternative dispute resolution arenas in all real estate matters.

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REAL ESTATE DUE DILIGENCE

The Firm conducts real estate due diligence on behalf of individual and corporate entities. We work to discover defects, boundary line disputes, title issues, and other matters that exist in real estate transactions. The Firm has extensive contacts with national and regional title companies to assist with due diligence on real estate matters.

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REAL ESTATE NEGOTIATION

The Firm is well versed in leases, both residential and commercial. Our representation of landlords and tenants gives us unique perspectives on both sides of the lease negotiation process, as well as insight to the latest issues and trends facing sophisticated space users and owners, including ADA regulations. We represent landlords and tenants in real estate lease matters and purchase and sale agreements.

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CORPORATE ADVISORY SERVICES

We advise California entities (Corporations, S-Corporations, LLCs, and partnerships) regarding their fiduciary duties and corporate governance best practices. The Firm advises clients in corporate fiduciary standards as well as in the extensive and ever-changing body of legislation, and regulations that affect small and medium-sized businesses.

 

We advise clients on the following:

 

  • Corporate formation

  • Corporate governance

  • Fiduciary duties

  • Shareholder, member and partner disputes

  • Shareholder agreements

  • Operating agreements

  • Partnership agreements

  • Joint Ventures

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REGULATORY PRACTICE

The Firm advises clients who are facing investigations or audits from a variety of administrative and regulatory agencies, including the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), the California Department of Corporations, the Commodity Futures Trading Commission, the CPA Board, and the California Department of Insurance.  Our experience has taught us that regulatory oversight is a major area of concern for businesses. We work closely with our clients to ensure that they are fairly represented in regulatory actions.

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