It is very important that you engage the services of an attorney who has experience related to your needs and who is willing and able to properly represent your interests.

            Wealth Advisor Analytic Services

            Did you spend your career building a business that you sold for more than enough money to secure your retirement years? Is your investment knowledge somewhat limited, but you are wise enough to recognize your need for the services of a wealth manager? Are you seriously considering a few prime candidates to help protect and grow your assets? Have those wealth managers asked you to pay $10,000 or more to provide you with their initial written analysis? Has your prospective wealth manager told you that it will perform "due diligence" in selecting sub-account managers and  perform investment "monitoring"? Have you been told that you will only have to pay an advisory fee based upon a percentage of your assets under management? Have you been asked to sign a contract that you do not understand?

            If so, you need legal assistance in your wealth advisor selection process. Entering into a wealth advisory agreement could be the biggest financial decision that you will ever make. Not all agreements are the same, and the devil is in the details. Caution is necessary when you consider turning over your financial future to persons who, just a short time ago, were complete strangers.

            It would be my pleasure to assist you. 

            Investment Litigation/Arbitration

            If you have suffered investment, e.g., stocks, bonds, limited partnership, real estate, losses that you feel are due to other than a general economic decline, you may wish representation in recovering your losses.

           My Background

           There are many reasons why you should select me to represent your legal interests.  

            I am duly licensed as an attorney with more than 30 years of diversified experience involving litigation/arbitration of business and investment disputes.  I have represented business entities, individual investors and more than twenty (20) securities brokerage firms before arbitration panels in several forums and in various state and federal courts in hundreds of disputes.  I have served as the Associate General Counsel and/or Compliance Director of a New York Stock Exchange Member Firm.  I have served as a business/investment arbitrator for 30 years.  

            I serve as a public advocate for better corporate governance as Chairman of the Committee of Concerned Shareholders.  I have written extensively to improve the securities arbitration process by expressing my concerns in formal comments to the Securities and Exchange Commission, e.g., Petition for Rulemaking (SEC File No. 4-502) (severe problems with FINRA arbitration and questionable SEC oversight).  My Petition for Rulemaking has received favorable media coverage, e.g., 9/1/05, Registered Representative Magazine, "The Real Arbitration Nightmare"; 7/31/05, San Diego Union-Tribune, "Stockbroker losses bring no trials, lots of tribulations"; 7/17/05, Pittsburgh Post-Gazette, "Systems for resolving disputes may need an overhaul."  I have conducted extensive litigation against the SEC, under the Freedom Information Act, Federal Advisory Committee Act and Administrate Procedure Act, that resulted in the SEC acting upon the Petition for Rulemaking.  Recent litigation against Blue Cross of California d/b/a Anthem Blue Cross and Blue Shield of California, based upon allegations that HIPAA premium charges exceeded legal limits, received favorable media coverage, i.e., 9/25/09, Los Angeles Times, "Anthem Blue Cross is ordered to repay customer $7,300," 7/8/10, Los Angeles Times, "Blue Shield is accused of overcharging," 8/31/10, Los Angeles Times, "California's safety-net insurance premiums rise."