Business/Investment - Litigation/Arbitration

            If you have suffered investment, e.g., stocks, bonds, limited partnerships, real estate, losses that you feel are due to other than a general economic decline, you may need representation in recovering your losses. 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.  Most plaintiff/claimant representation is handled on a contingency fee basis.  On the other hand, if you feel that you have been falsely accused, defense representation is available on an hourly basis.    

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

            I am duly licensed as an attorney with approximately 50 years of diversified experience involving litigation/arbitration of business and investment disputes.  I have represented business entities, individual investors and more than 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-dispute arbitrator for approximately 45 years.  

            I serve as a public advocate for better corporate governance as Chairman of the Committee of Concerned Shareholders. Also, I advocate for fiscal responsibility of local government by expressing concerns about lack of effective internal controls to prevent and detect fraud, waste, and abuse. One major concern is establishing an independently managed fraud, waste, and abuse program and associated hotline that inspires confidence. Sometimes, it is difficult when a city evidences a sense of  impunity. I served as legal counsel to the Ad Hoc Committee for Culver City Residents First during a bitterly contested political campaign.

            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 disclosing much information concerning its relationship with the securities industry and acting upon the Petition for Rulemaking. 

            Also, I have written "General Observations on Investing and Financial Statement Analysis."