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


  • FINRA EVP of Enforcement Susan Schroeder Announces Departure October 16, 2019
    WASHINGTON—FINRA announced today that Susan Schroeder plans to leave FINRA later this year, after leading the Department of Enforcement since 2017. Schroeder led the consolidation of FINRA’s enforcement functions into a new, unified group. The consolidated enforcement team now comprises 340 employees working in New York, Rockville, and 14 district offices handling disciplinary actions from […]
  • FINRA Publishes 2019 Industry Snapshot October 16, 2019
    Statistical Overview of Brokerage Firms, Registered Representatives and Trading Activity WASHINGTON—FINRA today published the 2019 FINRA Industry Snapshot, its second annual statistical report on the brokerage firms, registered representatives and market activity that FINRA regulates.
  • New Fraud Research: Low Financial Literacy Levels and Social Isolation Increase Consumers’ Likelihood of Being Scammed October 16, 2019
    Joint Research by FINRA Foundation, BBB and Stanford Center for Longevity show increased public awareness from news media reports, word of mouth and business intervention boost consumers’ defenses WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) today released new fraud research that shows that the scams with the highest engagement and victimization rates involve […]
  • FINRA Foundation Awards 2019 Ketchum Prize to Dr. Olivia S. Mitchell October 16, 2019
    University of Pennsylvania Professor Recognized for Outstanding Service and Research to Advance Investor Protection and Financial Capability in the U.S. Olivia MitchellWASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) today awarded Dr. Olivia S.
  • FINRA Fines UBS Financial Services Inc. $2 Million for Continued Failures Relating to Short Positions in Municipal Securities October 16, 2019
    Firm Inaccurately Represented the Tax Status of Thousands of Interest Payments to Customers; Restitution Ordered WASHINGTON—FINRA today announced it has censured and fined UBS Financial Services Inc. (UBS) $2 million for the firm’s repeated failures in timely addressing municipal short positions and in inaccurately representing the tax status of thousands of interest payments to customers.

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.