Practice Overview
The Alcala Law Firm's multi-disciplinary team has the experience to capably and efficiently meet the specialized needs of its clients.
Securities Regulation
The securities industry is one of the most highly regulated fields of business. Brokers and advisors are subject to strict licensing requirements and oversight at the Federal and State level. We understand the varying rules, obligations and fiduciary duties that apply in each situation.
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Stockbrokers
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Financial Advisors
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Investment Advisors
Fiduciaries
Fiduciaries such as investment advisors, trustees and conservators are obligated to act in the best interests of the beneficiaries and to adhere to the "prudent investor" standard.
For more information, visit the Fiduciary Scope blog.
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Advisors
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Trustees
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Conservators
Securities Disputes
Securities disputes have become more complex and adversarial. Representation by knowledgeable and experienced securities lawyers is a must.
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Arbitration
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Litigation
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Mediation
The Alcala Law Firm's team of securities attorneys, analysts and experts have successfully resolved hundreds of securities disputes through arbitration, litigation and mediation. We can help guide you through the securities disputes minefield.
For more information visit:
Frequently Asked Questions (FAQ) About Securities Disputes
