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Investor Rights

Astanehe Law represents California investors who suffered investment losses due to stockbroker negligence, misconduct, and fraud.  Because the firm aggressively pursues client claims and boasts a unique understanding of broker-dealer and securities law, its clients are poised for maximum recovery.

Astanehe Law differentiates itself from other law firms through its service orientated approach to representation.  Astanehe Law’s client-centered approach to representation means clients do not merely retain a lawyer, but a dedicated partner who keeps them informed throughout the legal matter.

Michael M. Astanehe, of Astanehe Law, has represented numerous people and has recovered millions of dollars on behalf of plaintiffs and claimants.  Having practiced for several years, Mr. Astanehe developed an intense passion for helping people obtain justice.  Now, Mr. Astanehe dedicates his practice to serving investors who have suffered investment losses due to their stockbrokers, investment advisors, and brokerage firms.  

Astanehe Law realizes that investors often do not realize that they have rights, much less a potential claim for their investment losses.  To that end, Astanehe Law offers consultations.  Complex rules and laws bind financial industry professionals and brokerage firms.  Where the professional violates a law, which causes investment losses, the injured investor has a claim.  If you have suffered investment losses on account of your stockbroker, investment advisor, or brokerage firm’s negligence, misconduct, or fraud, contact Astanehe Law for a consultation!

FINRA Arbitration

Typically, investors who suffered investment losses bring their claims in arbitration.  Despite seemingly resembling the courtroom, arbitration is fundamentally different.  Retaining counsel is not necessary; however, given arbitration’s complexity, retaining counsel provides a significant advantage.

Astanehe Law represents investors who suffered investment losses throughout California in Financial Industry Regulatory Authority (“FINRA”) arbitration for victims of stockbroker fraud, misconduct, negligence, churning, unsuitability, IPO manipulation, and PONZI scheme activity. 

FINRA arbitration is complex and expedited.  Investors fare best when represented by adept counsel.  Astanehe Law possesses the competence, experience, and insight to help investors fight back.  Astanehe Law knows investor rights!

Astanehe Law Advantages

No upfront costs for FINRA arbitration cases.

Free initial consultation and case review.

Zealous representation ensuring optimum results for clients.

Lowest contingency fees for FINRA arbitration in California.

Client-centered with thoughtful customer-service approach.

Serving investors throughout California.

Investment rights and security law expert.

Recovered millions on behalf of Californians.

Representing investors, never brokers or brokerage firms.

Need to speak with an investor rights attorney?

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Types of Stock Broker Fraud & Securities Law Violations our Investor Rights Attorneys Handle

Suffered Investment Losses?
You have rights.
Fight Back!


Contact Astanehe Law for your consultation:

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A broker may not recommend a security unless he or she has reason to believe that it is suitable for the investor. When a broker crafts an inappropriate investment strategy or recommends the investor inappropriate financial products, the investor has a claim for unsuitability. An investment that does not meet the objectives and means of an investor may also be unsuitable.

A broker may recommend certain unsuitable investment products, such as a REIT, because he or she receives an instantaneous and higher commission for the product. Investors who suffer investment losses from their broker's unsuitable investment may recover those losses. If you have suffered due to your broker's unsuitable investment, contact Astanehe Law for your free consult.

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Sometimes brokers abuse client confidence for personal gain by earning an excessive commission. Churning occurs where a broker unjustifiably gains from entering into unnecessary transactions to generate excessive commissions. Where this happens, investors are entitled to recompense from their broker and brokerage firm. If you notice excessive trading in your investment account, contact Astanehe Law for your free consultation.

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Reverse churning occurs when a broker inappropriately charges the investor a fee to maintain a fee-based advisory account. Typically, the fee is expressed as an annual percentage charged to the entire account balance. Reverse churning is becoming more common as brokerage firms search for new methods of generating profit from accounts that would otherwise not produce revenue.

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Your broker, financial advisor, and brokerage firm all must act in your interest. Although they are experts in their field, they are legally required to exercise their expertise and judgment in a manner that most benefits you. This relationship is legally known as a fiduciary duty. A legal claim arises where a fiduciary breaches their legal duty, and the client suffers damages.

If your broker has violated their fiduciary duty to you, and you have suffered investment losses, contact Astanehe Law to discuss your legal options.

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Brokerage firms must supervise their brokers’ conduct and recommendations to clients. The firm must ensure compliance with FINRA and security industry rules. Where a broker breaks the law or is negligent, and the investor suffers losses, the brokerage firm is liable.

As part of their duty to supervise, brokerage firms must perform periodic stockbroker reviews, have a familiarity with active brokerage accounts, review order tickets, and investigate unusual activity. The brokerage firm must act to detect and prevent improper activity. Investment loss liability extends to brokerage firms that fail to supervise their employees.

If the brokerage firm managing your brokerage account did not supervise your stockbroker's negligent, fraudulent, or unusual conduct, you have a claim against the firm for its failure to supervise. Contact Astanehe Law to discuss your right to recover your investment losses today.

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A stockbroker that misrepresents or omits facts, important disclosures, or the risk of engaging in particular investment activity -- undertaken to motivate the client to buy the investment -- violates their fiduciary duty as well as other investment industry laws.
Brokers often do this to gain from the particular security being sold.
If your broker did not adequately disclose an investment product's rating, qualities, or risk, contact Astanehe Law for your free consultation!

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As part of the stock broker's fiduciary duty and well-managed account doctrine, customer accounts must be adequately diversified. Diversification requires brokerage accounts to maintain a diverse blend of investments in a portfolio. Brokers are required by law to diversify their client accounts as the failure to do so may cause unnecessary investment losses.

If you suffered investment losses because your broker over-concentrated your investments in a single sector, or otherwise failed to diversify your portfolio, contact Astanehe Law for your free consultation!

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Stockbrokers may only sell stocks approved by their employing firm. However, brokers sometimes go rogue and inappropriately sell securities not held or offered by the employing brokerage firm, to earn a higher or immediate commission. Brokerage firms may not have compliance systems in place to detect and prevent selling away. Often, investment losses are caused by rouge broker's improper behavior. If your broker sold or offered you unapproved securities, contact Astanehe Law to learn about your legal options. You have a right to recover, and Astanehe Law will fight for you!

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Financial Professionals often utilize high-pressure sales tactics in connection with Initial Public Offerings (“IPOs”), including a heavy reliance on cold calling and by giving higher commission to IPO purchases.

This manipulative behavior encourages sales representatives to sell risky speculative IPOs instead of stable securities to investors.
Further, the pre-sell offering generates buying activity once the security comes to market that is designed to inflate the security’s price.

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Real Estate Investment Trusts ("REITs") are specialized investment products offered by stockbrokers that are not sold on the market. Although brokers often downplay their risks, REITs carry considerable risk, which makes them unsuitable for certain investors. While enjoying higher commissions, stockbrokers usually recommend REITs to investors who are unfamiliar with their particular risks, including the risk of bankruptcy, and difficulty to sell, and susceptible to an economic downturn. If your broker's REIT offerings caused you investment losses, contact Astanehe Law for your free legal consultation.

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Variable Annuities are often unsuitable for certain investors, such as the elderly, due to their long holding periods. Yet, they remain a popular investment offering because they provide stockbrokers with high commissions. If your stockbroker's variable annuity offering caused you investment losses, including opportunity costs, contact Astanehe Law to discuss your legal rights.

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Boiler room operations run afoul of the several duties include the brokerage firm’s duty to know its customer, understand the recommended securities, the duty of good faith and fair dealing, and the duty to engage in just and equitable principles of trade. Further, such operations may result in claims of unsuitability, broker negligence, and failure to supervise.

Contact Astanehe Law to discuss your legal rights if you fell victim to high-pressure sales tactics.

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Scalping occurs where a professional financial purchases a security before making a buy recommendation, with the knowledge that his or her recommendation will help drive up the stock price. Typically, the advisor sells the stock at a profit after the effects of the recommendation have been realized.

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Although a somewhat new and once novel liability theory in FINRA arbitrations, Dram Shop complaints are based on the broker’s failure to intercede in a client’s investment decisions. Claimants argue that the broker had an obligation to protect the customer from their own investment decisions, which were tantamount to unsolicited transitions as they did not involve broker-recommended securities.

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The most commonly asserted broker fraud claims are brought under section 10(b) of the Exchange Act and Rule 10b-5 of the Securities Act. These laws prohibit financial professionals from making lying, acting with deceit, or defrauding their clients when transacting in securities.

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Investment losses are not always due to the deliberate acts of investment industry professionals. Stock broker negligence or carelessness can also lead to investment loss. Despite being unintentional, investment losses due to broker negligence are often recoverable. Thus, contact Astanehe Law for your free consultation if you have suffered investment losses due to broker negligence and carelessness.

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Astanehe Law Knows Your Rights

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