Oakland Stockbroker & Investment Fraud Lawyers

My legal practice has always involved the representation of stock market participants, including investors, financial professionals and firms, nationwide. My work includes representation of in connection with FINRA Examinations and Enforcement Proceedings, as well as SEC investigations. I also represent individual brokers from virtually every major firm in their contract negotiations, employment termination, U-4 and U-5 issues. In specialized situations where the facts or law present novel issues, I also represent investors. I have appeared before arbitration panels and regulators in 22 states, have written legal columns for a number of industry publications, been a...

The focus of our practice is the representation of individual and institutional investors in arbitrations and litigations involving claims of breach of fiduciary duty, breach of contract, mismanagement, stock fraud, suitability, unauthorized trading, negligence and churning.

I also regularly represent those who work in the financial services regarding recruiting practices including issues relating to the Protocol for Broker Recruiting; non-solicit, non-compete and other restrictive covenants; customer privacy and other regulatory issues; best-practices for preserving a book of business through a transition; Form U5 negotiations; responding to FINRA inquiries; promissory notes; bonus disputes; team disputes; temporary restraining orders (TROs); expedited FINRA arbitrations;...

Mr. Kanterman is a problem solver, dedicated to helping his clients navigate complex civil and criminal matters, and focused on achieving innovative and practical results. Mr. Kanterman works diligently to identify all viable options for achieving the client’s desired outcomes, and is prepared to counsel clients, both plaintiffs and defendants, in pre-litigation resolution, alternative dispute resolution, and if necessary, through trial and appeal.

Before joining Stone & Magnanini, Mr. Kanterman served as a law clerk to the Honorable Marie P. Simonelli of the Superior Court of New Jersey, Appellate Division, where he worked on various legal topics, including complex whistleblower and...

Solo attorney in Hoboken, with full practice, catering to the representation of aggrieved investors against brokers and investment firms.

Financial services attorney primarily focused on resolving disputes through securities arbitration before the Financial Industry Regulatory Authority (FINRA), in addition to state and federal court litigation on select securities and consumer matters. On behalf of aggrieved investors, seek recovery of investment losses due to defective financial products or the wrongdoing of a broker or wealth manager. On behalf of securities industry professionals, offer representation on a broad range of matters including broker transitions, compensation-related disputes and employment matters including U5 expungement.