Practice Areas
Investment Fraud
Bad actors are pervasive in the financial industry, and as a result, many investors’ losses occur not because…
Suitability & Breach of Fiduciary Duties
Broker-dealers and investment advisers owe duties to the investors who hire them. The law requires…
Failure to Diversify
Broker-dealers and investment advisers are required to make suitable investment recommendations…
Failure to Supervise
FINRA Rule 3010 requires brokerage firms to supervise all activities of their registered employees, meaning…
Unauthorized Trading
Broker-dealers and investment advisers who ignore an investor’s instructions or abuse their discretion…
Selling Away
It is unlawful for broker-dealers and investment advisers to transact in securities that are not approved…
Churning (Excessive Trading)
Churning takes place when a broker or investment adviser engages in excessive buying and selling…
Broker Theft
When you decide to invest your hard-earned assets in California, you deserve to work with a broker-dealer…
Private Placement Investments
Broker-dealers and investment advisers are prohibited from selling private placements to investors…
Junk Bonds
High-yield bonds, which pay high interest for taking on high risk of the issuer failing to make interest…
Ponzi Schemes
In California, if you have been lured into a fraudulent investment operation and promised high returns…
Elder Abuse
Seniors who have substantial investments or assets can be attractive targets for unscrupulous…
Trading Restrictions
Firms that place trading restrictions on retail investors’ ability to transact in securities on their platforms…
Best Execution
When broker-dealers and investment advisers transact in securities on behalf of investors, they are required…
Boiler Rooms & Cold Calling
Often, an unsophisticated person or senior citizen with limited savings will receive a telephone call from…
Insurance Fraud
Insurance agents owe certain duties to their clients. Among these duties is a suitability requirement…
Financial Industry Representation
We provide comprehensive legal services to financial advisers and brokerage firms. Our firm is skilled…
Mortgage Predatory Lending
Rosenberger + Kawabata is dedicated to protecting consumers from predatory mortgage lending practices….
Business
Litigation
We represent both plaintiffs & defendants in negotiations, mediations, arbitrations, and trials in federal or state courts…
Real Estate Investment Trusts
Non-traded real estate investment trusts (“REIT”s) do not allow investors to sell their shares or redeem…
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