Claimed Lawyer ProfileQ&ALII Gold
- 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
14 Questions Answered
- Q. I am an interested party: 19CV1628 H Securities and Exchange Commission v. Champion-Cain et al How do I pursue recovery?
- A: Contact a lawyer. You may want to notify the receiver. You may have claims against the managers and those who sold it to you. You should act sooner rather than later.
- Q. We have evidence of elder financial abuse, self dealing, and perjury. What can we do?
- A: I think you're in California. I would think you'd want to contact the Department of Adult Protective Services. There should be at least one office in each county. Then you should talk to a lawyer.
- Q. Awarded full year of back pay from my job over a year & a half ago and still get no answers or explanation.
- A: Most arbitration awards can be turned into court judgments relatively easy. Once you have a judgment, you can collect on it as you would any judgment.
- Q. If I ask my broker if he's been previously sued for securities fraud, must he tell me the truth?
- A: Yes. They are required to disclose such things. You can check for yourself if you go to www.finra.org and type your broker's name in the "Brokercheck" box.
- Q. What should I do if I believe I have a valid securities fraud claim, and my broker has gone totally MIA?
- A: You can go after his firm. If there is a fraud, the broker's firm would be responsible.
- 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. 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. 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. 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
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