What investors and advisors should know

Welcome to my securities law blog. As an experienced securities litigation attorney and former financial advisor, I am writing to educate and provide information to investors, financial advisors, and others about the financial services industry.

The blog provides information on investment advisory services and their regulation. In my posts, I will cover three main areas:

  • financial advisor and client relationships
  • investment and insurance products
  • resolution of disputes arising from the sale of investment and insurance products

I became interested in these subjects when I was a registered representative who provided financial advice on insurance and investment products. As an attorney, I have represented individual investors, financial advisors, and financial institutions in disputes involving claims for breach of fiduciary duty, churning, discretion, ponzi scheme thefts, unsuitability, unauthorized trading, and others claims.

I have worked with and know some of the finest lawyers representing investors and the industry, and serving as mediators of securities litigation. I am a former member of SIFMA – Securities Industry and Financial Markets Association, a securities industry organization.

Using my investment and legal experience and background, I will provide readers of this blog with a better understanding of how the profession of investment advisory services works and how the regulatory framework seeks to protect investors and provide for an efficient dispute resolution process.

I look forward to your comments, suggestions and questions.

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