Justia Lawyer Rating for Mauriello Law Firm, APC
Avvo Reviews
San Diego County Bar Association
Orange County Bar Associaton
The State Bar of California
Consumer Attorneys California
Avvo Rating 10.0 Top Attorney

Investment Disputes

The Firm’s practice also includes representing investors in disputes with brokerage firms, investment advisors, stockbrokers, and commodities firms. These disputes frequently involve issues such as over-concentration, unsuitable investment recommendations, misrepresentations, “churning” or excessive transactions, inappropriate recommendations of margin trading, and execution problems. These disputes are heard in arbitration forums operated by FINRA (formerly NASD) Dispute Resolution, Inc. and the New York Stock Exchange. In the event a particular contract or account agreement does not continue an arbitration clause, the dispute may be heard in state or Federal court.

The Firm most frequently represents investors and has arbitrated cases against the following securities firms, among others:

  • Merrill Lynch
  • Morgan Stanley
  • Citigroup
  • Raymond James
  • A.G. Edwards
  • Charles Schwab & Co., Inc.
  • Bank of America Securities
  • Prudential Securities/Wachovia
  • UBS
  • Wells Fargo Securities
  • First USA Securities/Brookstreet Securities
  • Spencer Edwards, Inc.

The Firm also has represented securities industry clients such as broker dealers and registered representatives, in litigation/arbitration and also in licensing, disciplinary, and investigative proceedings before the Financial Industry Regulatory Authority (FINRA) (formerly NASD), Securities and Exchange Commission (SEC), and other agencies and bodies.

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...

Scott Yi, Securities Registered Representative

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...

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

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Supreme Court

(619) 940-1606 - (949) 542-3555