Securities Law

California Securities Law Attorneys Assisting Clients Nationwide

Michael P. Ring & Associates have gained a nationwide reputation for their work in securities law. Attorney Michael P. Ring began working in securities law in 1980, and his law firm now assists brokers and customers in the following ways:

  • Assisting brokers: In 1988, we represented a stockbroker who had been caught in the crossfire of a dispute involving $120 million dollars in securities fraud. Most cases are perhaps less dramatic, involving brokers' disputes with their employers. As with most of our work, our securities law practice often entails another area of practice, namely employment law.

    For example, when a broker switches brokerages, bringing a book of clients with him or her, an employee forgivable loan is often part of the deal -- but if something later goes awry, the new brokerage might suddenly demand repayment of the loan. In other cases, brokerages fight to keep the book of clients that a broker might intend to take to a new job. Other cases we have experience with involve wrongful discharge, severance packages, and more.

  • Defending brokers in litigation: We assist brokers who are being sued by customers on accusations of stock churning, securities fraud, blue sky violations, unsuitable trades, and other charges. Our lawyers also represent brokers whose tickets to practice are being threatened by the Securities and Exchange Commission (SEC), New York Stock Exchange (NYSE), National Association of Securities Dealers (NASD) or other organizations.

  • Representing customers: When customers lose thousands in securities and come to the conclusion that they have been ripped off by their brokers, our lawyers meet with them and discuss their case. These cases often dovetail with our elder abuse work.

Contact Us

In a free initial consultation, one of our lawyers will discuss any type of securities problems, from securities fraud to stockholder disputes. Either visit our contact page or call 805-564-2333 or 800-941-7464 to set up an appointment We are centered in Santa Barbara, California, and we help anyone across the United States in securities matters.