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


  • FINRA Statement on SEC’s OCIE Risk Alerts for Reg BI and Form CRS July 11, 2020
    On April 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) released Risk Alerts for Reg BI and Form CRS.  These Risk Alerts set forth OCIE’s expectations for firms’ compliance with Reg BI and Form CRS and provide broker-dealers with information about the scope and content of OCIE’s initial examinations following the compliance […]
  • FINRA Sanctions Stifel, Nicolaus & Co., Inc. More Than $3.6 Million for Violations Involving Unit Investment Trusts July 11, 2020
    WASHINGTON—FINRA announced today that it has ordered Stifel, Nicolaus & Company, Incorporated to pay approximately $1.9 million in restitution, plus interest, to more than 1,700 customers in connection with early rollovers of Unit Investment Trusts (UITs). FINRA also fined the firm $1.75 million for providing inaccurate information to customers related to rollover costs incurred, and […]
  • FINRA Securities Helpline for Seniors Marks Five-Year Anniversary July 11, 2020
    FINRA Releases Report Highlighting Helpline’s Efforts and Other FINRA Initiatives to Protect Seniors WASHINGTON — FINRA today released a new report illustrating the FINRA Securities Helpline for Seniors’ efforts to provide support, resources and education to senior investors over the last five years.
  • FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds July 11, 2020
    Washington—FINRA announced today that it has ordered Merrill Lynch, Pierce, Fenner & Smith Inc. to pay more than $7.2 million in restitution and interest to customers who incurred unnecessary sales charges and paid excess fees in connection with mutual fund transactions. The firm did not have supervisory systems and procedures reasonably designed to ensure that […]
  • FINRA Foundation Announces Annual Research Award Recipients July 11, 2020
    Studies Advance Understanding of Financial Capability in the United States WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) recently announced the recipients of its higher-education awards created to recognize outstanding analyses by researchers-in-training who seek to advance understanding of consumer financial wellness and the complex relationships among financial literacy, financial capability and financial well-being.

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.