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Thomas Mauriello Addresses Roundtable Discussion at CA Wealth Management

On February 25,2008, Thomas Mauriello made a presentation to the members of CA Wealth Management at their San Diego office. CA Wealth Management is a financial and investment advisory firm with offices in San Diego County and Orange County. Mr. Mauriello spoke on the "nuts and bolts" of arbitration between brokerage firms/financial advisors and customers, including the arbitration process, decision-making by the arbitrators, the most common types of arbitration claims and scenarios, and problems with certain types of investment products that may lead to unsuitable investments, breaches of fiduciary duty, or other problems. Following the presentation, the group engaged in a roundtable discussion regarding compliance and dispute resolution issues relating to a variety of investment products and services, including annuities, mutual funds, insurance, and private placements. Mr. Mauriello was able to share his "in-the-trenches" experiences with real-world investment disputes and tips on how to avoid them and how to handle them when they arise. He also was able to benefit from the perspectives of investment industry professionals on current issues of concern.

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. 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 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