Phone: 818-366-0570     |    Email:
James A Sigler & Associates, Stock Broker Attorneys

10727 WHITE OAK AVE · SUITE 114 · GRANADA HILLS, CA  91344 ·  (818) 366-0570

James A. Sigler & Associates

A Los Angeles based law firm working with clients across the country with respect to disputes with stockbrokers and financial advisors.


Have you lost money in the market because your account was mismanaged by your broker? If so, we may be able to help. As Los Angeles securities attorneys who focus on stockbroker law we help clients recover investment losses. Everyone knows that the value of investments rise and fall. Stocks go up. Stocks go down. The fact that the value of your investments has declined does not mean that your broker has acted improperly. However, if your broker has mismanaged your account, you may be entitled to recover money whether the value of your investments has gone up or down. The question is not so much the rise or fall in the value of your investments. Rather, the key is whether your investments were handled properly.

Some typical types of account mismanagement:

Unsuitable Advice

Did your broker properly research and recommend suitable investments for your situation?


Did your broker tell you everything they should have about the securities in which you were invested?

Unauthorized Trading

Did you tell your broker to buy or sell, or did they do it without your permission?


Did your broker needlessly buy and sell investments in order to generate extra commissions?

News from the Financial Industry


  • SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors December 13, 2018
    WASHINGTON — The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the Compliance Outreach Program for Municipal Advisors.
  • FINRA Publishes 2018 Report on Examination Findings December 7, 2018
    Second Annual Report Is the Latest Compliance Resource for Firms Resulting from FINRA360 WASHINGTON – FINRA today published its 2018 Report on FINRA Examination Findings, its second annual report detailing observations from recent exams of firms. The report is the latest resource FINRA makes available to firms as a result of its ongoing organizational improvement […]
  • FINRA Foundation Names 2018 Recipients of First Annual Military Spouse Fellowship Program Awards November 15, 2018
    Military Spouse Fellows Support the Military Community as Accredited Financial Counselors® to Help Increase the Financial Capability of Military Families WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) has announced the recipients of the first annual awards to FINRA Foundation Military Spouse Fellows for outstanding service and dedication to military service members and their […]
  • FINRA Fines LPL $2.75 Million for Complaint-Reporting and AML Program Failures October 30, 2018
    WASHINGTON – FINRA announced today that it has fined LPL Financial, LLC $2.75 million for complaint-reporting and AML program failures that spanned a period of more than three years.   
  • Report from FINRA Board of Governors Meeting – September 2018 October 5, 2018
    Board Approves Rule Proposals, Welcomes New Governor and Confirms Committee Appointments WASHINGTON – FINRA’s Board of Governors met on Sept. 26-27 at FINRA’s offices in New York, where it approved four rule proposals, welcomed a new Governor and made several standing committee appointments.

Are you in need of professional legal help?

Obviously, it is best to have a good working relationship with your stockbroker.  However,  in the event that you believe your broker has mismanaged your account you may be faced with the prospect of filing a claim against your broker. You can bet your broker and his brokerage firm will have attorneys represent them in any dispute. Your interests are best served by having an experienced stockbroker attorney on your side.


“If stock market experts were so expert, they would be buying stock, not selling advice.”

― Norman Ralph Augustine

Our Philosophy

We believe all legal cases are equally important, especially for the individual client.

Our company is needed in both good and bad situations in life, and we do whatever we can to make all cases a good experience no matter the subject. We look at our clients as people with genuine problems and do not measure their wallet before we look at their case.

Why Call Us?

If you are concerned that your investments may have been mismanaged by your broker or advisor, or you may have been the victim of stockbroker fraud, please call our office for a free consultation.

We will do everything possible to make sure we are the right fit for your case.


James A. Sigler & Associates
10727 White Oak Ave. • Suite 114 • Granada Hills, California 91344 • (818) 366-0570