Disclaimers

Attorney-Client Relationship Disclaimer

The material and statements provided throughout this web site do not create, and are not intended to create, an attorney-client relationship, and no one in this firm is agreeing to represent you in any legal matter. If you are already represented by an attorney, then no attorney or employee of this firm can speak with you nor provide legal advice to you without the consent of your attorney. Accordingly, if you are already represented by an attorney, please do not contact one of our attorneys or employees without your lawyer's consent.

Email Disclaimer

Caution - Before you proceed please note: Do not send us any confidential information. By contacting us via email or the contact information contain on this website you agree that our review of the information contained in your correspondence and any attachments will not create an attorney-client relationship or an attorney-prospective client relationship between you and our firm or any lawyer in our firm and will not prevent any lawyer in our firm from representing a party in any matter where that information is relevant, even if you submitted the information in a good faith effort to retain us, and, further, even if that information is highly confidential and could be used against you.

 

TESTIMONIALS

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Thank you so very much for your guidance, patience, and expertise.

Beth and Steve K.

LATEST NEWS AND ARTICLES

March 4, 2026
Modern Fraud Schemes Escalate in Scale and Sophistication

A recent panel discussion at the Financial Services Institute OneVoice conference in San Diego highlighted how rapidly evolving fraud schemes continue to victimize both retail and wealthy investors.

March 3, 2026
FINRA Suspends Former Stifel Broker Over Costly Account Switching Trades

The Financial Industry Regulatory Authority (FINRA) suspended a former Stifel, Nicolaus & Co.

March 2, 2026
FINRA Suspends Cetera Broker for Accepting $50,000 Client Bequest Without Firm Approval

The Financial Industry Regulatory Authority (FINRA) imposed a $10,000 fine and a seven-month suspension on an independent broker for accepting a $50,000 bequest from a client without obtaining prior firm approval.