David M. Gaba

David M. Gaba's Legal Guides (3)

Seattle, WA

Securities and investment fraud Lawyer at Seattle, WA

Practice Areas: Securities & Investment Fraud

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Regulatory Requirements and Fiduciary Duties of Stock Brokers

Oct 10, 2011

Regulatory Requirements Most stock brokers are members FINRA which is a self-regulatory organization that mandates certain minimum standards of conduct for its members. NYSE Rule 401 and Section 2110...

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Types of Stock Broker Misconduct

Oct 10, 2011

Claims by investors against their stockbrokers and other investment advisors fall into four basic categories. The most common claims that we have seen are: Churning Unsuitability Overconcentration...

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Securities Arbitration Overview

Oct 10, 2011

Private causes of action exist for violations of the state and federal securities laws and for common law claims such as negligence, breach of fiduciary duty and common law fraud. These causes of actio...

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