LITIGATION & ARBITRATION

Investors confronted with investment losses have two choices:  (1) do nothing, or (2) retain counsel to investigate the investment and bring a claim to recover the investment losses.  Financial advisors are paid based upon your investment and, therefore, these “advisors” have a serious conflict of interest between their own financial security and yours. Never accept investment losses as par for the course.  Many times the investment was doomed from the start, but clients are not familiar enough with the investment world to understand what was done to them.

 

Litigation is a lawsuit in court in front of a judge (who decides the law) and a jury of our peers (who decide the facts in dispute), while arbitration is a dispute resolution process that takes place in a conference room where arbitrators decide the law and the facts of the case.  Many investors are forced to into arbitration because of provisions in broker-dealer agreements and account forms.  Whether a case takes place in court or in litigation, the process is generally the same in terms of pleadings, motions, discovery and presentation of the case at trial.

 

We have represented clients in litigation and arbitration concerning complex investment products including private equity transactions, private placements, startup companies, stocks, bonds, mutual funds, insurance products, variable annuities, tenant-in-common interest securities, options and other derivative products.

 

On behalf of our clients, we have brought claims against several large Wall Street firms for many acts of misconduct including fraud (misrepresentations and failure to disclose), constructive fraud, financial elder abuse, violation of California blue sky laws, violations of federal securities laws, churning, unsuitability, unauthorized trading, failure to diversify, breach of fiduciary duty, illegal or excessive markups, selling away, control and domination, margin violations, clearing broker liability, books and records violations, supervisory issues and significant others.

 

Our clients include individual all types of people (e.g., doctors, lawyers, entertainers, athletes, angel investors, registered investment advisors, business owners, retirees, teachers, engineers, etc.) who invest with broker-dealers (e.g., Merrill Lynch, UBS Securities LLC, LPL Financial, A.G. Edwards Inc., Bank of America, Citigroup, Charles Schwab, Credit Suisse, Goldman Sachs, HSBC, RBC, etc.) and who invest either through a finder or direct with a company issuing securities. We have a deep understanding of the investment field and what are clients expect and need from their lawyers.

 

We have obtained many substantial recoveries in litigation and arbitration for our clients since Wittenberg Law was founded in 2010. Call us to discuss your situation on a confidential and complimentary initial basis.