Claimed Lawyer ProfileQ&ALII Silver
- Securities Law
- Arbitration & Mediation
- Stockbroker & Investment Fraud
- Free Consultation
- Contingent Fees
Investors are generally represented on a contingency basis.
Jurisdictions Admitted to Practice
- 9th Circuit
- Sole Practitioner
- Steve Buchwalter Law Offices
- Staff Attorney
- Investors Arbitration Services, Inc
- University of La Verne College of Law
- J.D. (1993)
- Public Investors Arbitration Bar Association (PIABA)
- - Current
- California State Bar # 168501
- - Current
- Confirming and Vacating Arbitration Awards
Websites & Blogs
- Steve A. Buchwalter's Website Profile
- Steve Buchwalter Law Offices Website
11 Questions Answered
- Q. I know that there are federal securities laws, but are there any that are state-specific to California that differ from
- A: Yes they do and they are stronger than the federal laws. They start at Corporations Code 25000
- Q. If the person doesn't pay the amount decided in arbitration, do we go back to arbitration, or sue in court?
- A: Neither. An arbitration award can be turned into a judgement without suing. You ask the court to turn it into a judgment by filing a Petition to Confirm it as a judgment. Then you could collect on it as you wold any judgment
- Q. My broker disappeared after I discovered fraudulent misrepresentations associated with my account. Who do I sue if I
- A: If there is wrongdoing, the brokerage firm he was associated with would be responsible.
- Q. Is there a time limit on mediations in California, or can they go on forever if the parties disagree on everything?
- A: In a mediation, the parties can set whatever ground rules they want, including time limits. In reality, mediations, even in complicated cases, do not last more than a day or two. If the parties sense that the case will not settle, parties may start walking away.
- Q. Options were about to vest but the company went into bankruptcy, what do I do?
- A: If your options are in the money, you may want to exercise them. If a stockbroker recommended the options without warning you about the companies financial condition, you may be able to sue. You'll need to talk to an attorney. www.securitieslaw-attorney.com
- Q. What's the very first thing I should do if I have believe I have a securities claim?
- A: Gather all your documents and put them is a safe place. Call an attorney to go over your case. Any attorney you talk to may ask you to write up a narrative (your story) as to what happened. It may be a good idea to start on that.
- Q. Is there any way to appeal a decision by an arbitrator?
- A: If certain narrow conditions are met, an arbitration award can be vacated or corrected by a court. If a court refuses to vacate or correct the award, the court's decision can be appealed. Act fast, you generally have around 3 months to file and serve the correct papers.
- Q. I am a FINRA registered representative with several securities licenses and had a tax lien.
- A: Yes. Pursuant to question 14m on the form U4, only unsatisfied liens need to be reported.
- Q. How does the SEC deal with people who want to cash out millions of dollars they earned via Bitcoin? Is that regulated at
- A: The SEC does not regulate bitcoin. As far as I know, nobody does.
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