Securities Disputes

Newport Beach, California, Securities Litigation Attorneys

Our attorneys help individual and institutional investors in Southern California recover losses caused by fraud and other inappropriate actions by their financial advisors, brokers, or investment firms. Sometimes these recoveries can include interest, costs, and reasonable attorneys’ fees.

Stockbrokers, indenture trustees, promoters, underwriters, market feasibility consultants, and brokerage houses have a high level of responsibility to their investors. Among those responsibilities is the obligation to assess a client’s tolerance for risk before placing their money in investments such as stocks, bonds, or annuities. Our lawyers have represented investors on issues such as:

  • Unsuitable investments
  • Unauthorized trading
  • Fraudulent conveyances
  • Churning (the excessive buying and selling of securities to generate commission fees)
  • Negligence
  • Conspiracy
  • Breach of fiduciary duties

The primary venue for resolving disputes between investors and the securities houses are arbitration hearings before the Financial Industry Regulatory Authority (FINRA). At McQUEEN DROSTE LLP, our lawyers have extensive litigation and arbitration experience. Attorney James McQueen served as arbitrator pursuant to a consent decree involving 200 arbitrations for Prudential Investors.

If your retirement savings or investments have declined in value due to mismanagement, fraud by your investment advisor or broker, you may be able to recover some or all of your loses. To schedule an appointment with one of our securities litigation attorneys, contact James McQueen at our office. For more information about our results, we invite your to visit our representative Case Studies page.