Securities Litigation, Arbitration and Mediation

The majority of stockbroker disputes are resolved through arbitration before the Financial Industry Regulatory Authority (FINRA). Disputes with investment advisors may, however, have to be arbitrated in a different forum, such as the American Arbitration Association (AAA). Securities disputes can also be resolved through mediation or in court. For additional information visit the "securities litigation, arbitration and mediation" section or the “Frequently Asked Questions (FAQ)” section of this site.

Broker Misconduct:

The Alcala Law Firm has successfully resolved hundreds of securities disputes involving stockbroker misconduct and investment advisor misconduct. Although securities disputes can cover a wide range of issues and investments, our firm routinely handles the following types of matters:

• Breach of Fiduciary Duty
• Unsuitability
• Overconcentration and Failure to Diversify
• Securities Fraud, Misrepresentations and Omissions
• Churning, Excessive Commissions and Fees
• Margin Trading and Excessive Leverage
• Unauthorized Trading

Investments:

Securities disputes frequently involve complex issues that require an in depth knowledge of both securities law and industry practices. The Alcala Law Firm has handled claims involving a wide variety of securities products including the following:

• Retirement and Pension Accounts
• Employee Stock Options
• Variable Annuities, Equity Indexed Annuities and Insurance Products
• Mutual Funds and Exchange Traded Funds (ETFs)
• Bonds & Preferred Stock
• Put and Call Options
• Private Placements

Brokerage Firms

The Alcala Law Firm has pursued securities disputes against major brokerage firms, smaller firms and investment advisory firms through litigation, arbitration and mediation. For a representative listing of firms click here.