Large Brokerage Firm Representation

For decades, Turner Dhillon’s attorneys have represented brokerage firms, investment advisor firms, and financial advisors. Some of our past clients, whom we have represented, include TD Ameritrade, Charles Schwab, Wells Fargo, LPL, and Morgan Stanley. Our attorneys have successfully handled customer disputes, recruiting matters, employment matters, promissory note cases, and expungements.

 

Investment Disputes
All too often, investors sue when they are unhappy with the performance of their investments, alleging unsuitable transactions, churning, misrepresentations, fraud, negligence, breach of fiduciary duty, violations of federal and state securities laws, violations of FINRA rules, elder abuse, and breach of contract. Our attorneys have an unparalleled track record of success—e.g., Bill Turner has prevailed in more than 90% of the FINRA arbitrations in which he was lead counsel.

 

Successful Litigation of Securities Employment & Recruiting Issues
Turner Dhillon’s attorneys also have significant experience and a track record of success in litigating and resolving informally the various types of employment and recruiting issues that arise in the securities industry. When financial advisors move from firm to firm, are terminated, or have disclosures reported on their CRD/BrokerCheck records, Turner Dhillon aggressively defends its client’s rights and financial interests to position them best for victory at trial, or to achieve the best possible pre-trial or pre-litigation settlement or other informal resolution.

 

Advice & Counsel for Securities-Industry Clients in Non-Securities Employment Issues
In addition, Turner Dhillon has a robust general employment practice that enables it to provide its securities-industry clients with advice and counsel concerning the non-securities-industry-specific types of employment issues that all businesses face in California, and to successfully defend its securities-industry clients in non-securities-industry-specific employment litigation (individual, class action, and PAGA).