Securities

Experienced attorneys representing investors in disputes with their stockbrokers and financial advisers; and helping victims of investment fraud and malpractice nationwide to recover their investment losses for more than three decades.

Meet Our Team

In most cases, legal actions against stockbrokers and investment advisors are filed in arbitration proceedings, rather than in court. Claims against stockbrokers are generally filed in an arbitration forum established by the Financial Industry Regulatory Authority, known as FINRA Dispute Resolution. Claims against investment advisors often have to be filed in arbitration forums such as AAA or JAMS. Each arbitration forum has its own procedural rules and filing fee requirements. Mika Meyers has experience advocating in all of the major arbitration forums.

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Million Judgment In Commodity Case

Million Judgment In Ponzi Scheme Case

Million Judgment In Conversion Case

Common claims that we bring on behalf of investors include claims for the sale of unsuitable investments, excessive trading, unauthorized trading, selling away, the sale of unregistered securities, negligence, breach of fiduciary duties, investment fraud, and violations of Federal and State securities laws. The statutes of limitations on some of these claims are very short, so investors who have concerns about their investments or the conduct of their financial advisors should consult with an experienced attorney as soon as possible.

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Dan Broxup represented us in a FINRA case which took over a year and half and was very involved. We have never been involved with anything like this but Dan handled it very well, kept us informed, and continually explained the process in terms that were easily understood. Dan’s understanding of the process was excellent and his advice and recommendations to us were always appropriate. Dan communicated very well by phone, e-mail, and personal meetings. His knowledge of securities law was excellent. We were very comfortable with Dan and he did a great job of keeping our stress levels low in some very stressful situations while going thru Mediation and Arbitration.

John Hollenbeck

Daniel J Broxup represented me in a FINRA case against a former financial advisor. I was very pleased with the settlement, and the fast and professional manner in which the case was handled.

Jolan Jackson