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Steve A. Buchwalter
Practice Areas
Securities Law
Account Churning
Breach of Fiduciary Duty
Fraud
Misrepresentation
Negligence
Unauthorized Trading
Pricing Violations
Unsuitable Investments
Failure to Protect Assets
Overconcentration
Margin Account Abuse
Excessive Trading
Brokerage Firm Liability
Deceptive Broker Acts
Variable Annuities
Direct Participation Programs
Non-Traded REITs
Variable Life Insurance
Front Running
Mutual Fund Switching
Auction Rate Securities
Pump and Dump Schemes
Boiler Room Schemes
Penny Stock Fraud
Failure to Supervise
FINRA
Equity-Linked Notes
Failure to Execute Trades
Exchange Traded Funds
Closed End Funds
Managed Futures Funds and Commodity Trading Advisors
Stuffing
Private Placements Under Regulation D
Reverse Convertible Notes
Tenant-in-Common Investments
FINRA Rule 3110
FINRA Rule 2090
Financial Elder Abuse
Unit Investment Trusts
Securities Backed Lines of Credit
Oil and Gas Investments
Failure to Protect Profits
Timely Execution of Orders
Break Point Selling
Short Selling (Short and Distort)
Business & Civil Litigation
Breach of Contract
Business Disputes
Employment Litigation
Partnership Disputes
Alternative Dispute Resolution (ADR)
Arbitration & Mediation
Arbitration FAQs
Employment Mediation & Arbitration
Mediation FAQs
Securities Arbitration
Recent Results
Articles
Finding a Securities Broker
Current Investigations
Featured Investigation: December 2020
Featured Investigation: November 2020
Featured Investigation: October 2020
Featured Investigation: September 2020
Featured Investigation: August 2020
Featured Investigation: July 2020
Featured Investigation: June 2020
Featured Investigation: May 2020
Featured Investigation: April 2020
Featured Investigation: March 2020
Featured Investigation: February 2020
Featured Investigation: January 2020
Featured Investigation: November 2019
Featured Investigation: October 2019
Featured Investigation: September 2019
Featured Investigation: August 2019
Featured Investigation: July 2019
Featured Investigation: June 2019
Featured Investigation: May 2019
Featured Investigation: February 2019
Featured Investigation: January 2019
Featured Investigation: December 2018
Featured Investigation: November 2018
Featured Investigation: October 2018
Featured Investigation: September 2018
Featured Investigation: August 2018
Featured Investigation: July 2018
Featured Investigation: May 2018
Featured Investigation: April 2018
Featured Investigation: March 2018
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