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Steve A. Buchwalter

Steve Buchwalter Law Offices
  • Securities Law, Arbitration & Mediation, Stockbroker & Investment Fraud
  • California
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Practice Areas
  • 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
  • English
Professional Experience
Sole Practitioner
Staff Attorney
Investors Arbitration Services, Inc
University of La Verne College of Law
J.D. (1993)
Professional Associations
Public Investors Arbitration Bar Association (PIABA)
- Current
California State Bar # 168501
- Current
Speaking Engagements
Confirming and Vacating Arbitration Awards
Websites & Blogs
Steve A. Buchwalter's Website Profile
Steve Buchwalter Law Offices Website
Legal Answers
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.
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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Contact & Map
Steve Buchwalter Law Offices
Main Office Location
16133 Ventura Blvd
Encino, CA 91436
Telephone: (818) 501-8987
Fax: (818) 501-0980