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.