Virginia H. Gaburo is a member of the NASD (now FINRA) panel of arbitrators. She has many years of experience representing California customers, investors and brokerage firms from across the United States, in claims based upon abuses and wrongdoing in the securities area. The firm's cases have included those involving full service, discount and Internet brokerage firms; speculation and investments in precious metals and currencies; so-called "private placements"; private investments and venture capital raising; sales of trust deeds; sales of variable and fixed annuities; and sales of interests in limited partnerships, limited liability companies and corporations - for purposes as varied as invention/new product development; real estate development; oil, gas and energy exploration and development; and a multitude of specific business plans and models.
The firm has represented parties in SEC actions, and has represented investors objecting to class action settlements. We have extensive experience representing both customers and brokerage firms in claims involving a broad range of abuses, including but not limited to the following:
- fraud, misrepresentation, and fraudulent non-disclosure
- breach of fiduciary duty
- lack of due diligence
- over-concentration/lack of diversification
- unsuitability
- failure to supervise
- negligence
- churning
- over-charging and illegal commissions
- sales of unregistered and non-exempt securities
- illegal secondary offerings of securities
- elder financial abuse
- biased financial analyst reports and recommendations
- underwriter abuses
- delayed execution and failure to execute trades
- excessive margin interest
- improper sales of mutual funds
- fraudulent/misleading prospectuses
- non-disclosure and improper investments re mutual fund classes and break points
Our expertise includes litigation in state and federal courts, and arbitration and mediation before the Financial Industry Regulatory Authority (FINRA). We have ready access to a team of exceptionally qualified and highly-reputed expert consultants and witnesses, essential to the thorough preparation and presentation of your case. We know what we are doing and will leave no stone unturned to achieve for you a fair and proper result.
For more information about securities law, visit the following Practice Information Pages on this website:
