Picture of attorney Thomas Mauriello
CALIFORNIA CONSUMER AND
SECURITIES FRAUD LAWYER
CONTACT ATTORNEY THOMAS MAURIELLO

Attorney Thomas D. Mauriello Addresses Investors at Annuities & Mutual Funds Workshop in Newport Beach, CA

On September 23, 2013, attorney Thomas Mauriello spoke at the Annuities & Mutual Funds Workshop as part of the It’s Your Estate/Money Workshops, a program of Financial & Estate Literacy, Inc., a 501c3 charitable organization.  The event took place at the Newport Beach library before an audience of over 100 people.

Mr. Mauriello spoke about avoiding and addressing problems in relationships between investors, on the one hand, and brokerage firms, securities registered representatives, and financial advisors, on the other hand, including the following issues:

  • Problems that commonly arise with annuities and mutual funds, as well as other securities (including “war stories” and cautionary tales)
  • Resources for learning more about your current financial advisor or securities broker
  • “Red flags” that may help investors avoid certain products and certain brokers or advisors
  • “Best practices” that may help investors avoid misfeasance or malfeasance by brokers or advisors
  • Tips on whether an investor may or may not have a valid legal claim
  • The “nuts and bolts” of the legal process for resolving investment disputes, including arbitration before the Financial Industry Regulatory Authority (“FINRA”)
  • Helpful government and private resources for investor protection and information

An outline of Mr. Mauriello’s presentation may be found here .

Thomas Mauriello is an investor rights attorney based in Orange County, California who for 24 years has represented investors in court and arbitration throughout the State of California.  He is available to assess your situation to help determine whether or not you have a meritorious legal claim relating to your investments.  Initial consultations are free.

Financial & Estate Literacy, Inc.’s stated mission is to provide the resources people need to make confident financial, estate and charitable decisions.  The charitable sponsors of the It’s Your Estate/Money Workshops are: The Ocean Institute, American Heart Association, Mission Hospital Foundation, Chapman University, PBS SoCal,  St Jude Memorial Foundation, American Bible Society, Laguna Canyon Foundation and St. Joseph Hospital Foundation.  For more information regarding this workshop and the Fall 2013 It’s Your Estate/Money Workshops Program, click here.

Client Reviews
★★★★★
Tom, thank you for your all help. Among the three other attorneys I talked with, I chose you because you really listened, asked thoughtful questions and sought all information to understand my situation. That gave me confidence in you above all others. I am a believer in receiving feedback, so I just wanted to share my thoughts with you. If I come across anyone that is looking for counsel in this industry I will certainly refer them your way.
★★★★★
Thomas was very thorough, kind and truly cared about me and my case. He went above and beyond the call of duty. Every time I contacted him he me made me feel like a very important client. His skills, intelligence and demeanor lead to a victory in the courtroom! Susan De Diminicantanio
★★★★★
As a business development consultant, there have been times to which I am in need of counsel for the review and strategic advice a range of diversified employment and compensation packages. In this sense, Thomas Mauriello has been my trusted counsel, paying particular attention to the settle nuances the language and structure of contractual agreements, and rely heavily on his expert opinion as a plaintiff's lawyer! Emma Makinen, DOAP Kitchens, LLC
★★★★★
Our Family needed an attorney who was knowledgeable with FINRA and Tom proved to be very familiar with FINRA. We found him, trustworthy, thorough, honest and sympathetic during an emotionally stressful time with our Family. Annette Hellmich
★★★★★
I would recommend Mr. Mauriello highly - - to anyone - - - wish I had more friends in the area who need an attorney! He was extremely knowledgeable, timely, courteous, - AND - he won my case! Would call him again in an instant should the need arise. Nancy Brown