Practice Areas

Ms. Stoneman has decades of experience and knowledge in filing securities arbitration cases against brokerage firms, which enables her to represent clients in both small and large disputes in an efficient and cost effective manner. Below is a sampling of the types of cases Ms. Stoneman handles.

Areas of Expertise of Stoneman Law

Arbitration
Arbitration Procedures
Breach of Fiduciary Duty
Breach of Fiduciary Duty Compliance Obligations for Registered Investment Advisors (RIAs)
Breach of Securities Regulations & Industry Norms & Standards
Brokerage firm workplace wrongdoing such as discrimination or harassment
Brokerage Fraud
Compliance Violations
Concentration - Lack of Diversification
Control Person Liability
Contract / Promissory Disputes
Churning
Damages & Punitive Damage Analysis
Due Diligence
Federal and State Securities Violations
FINRA Arbitrations
 FINRA & SEC Regulations
For Brokers
For Seniors
Improper Sales of Limited Partnerships and Private Placements
Investment Advisor
Investment Advisor Advice
Investment Fraud 
Investment Suitability Checklist



Misrepresentations and Omissions
Mutual Fund & Hedge Fund Mismanagement
Negligence
Options, Stocks & Bonds
Order Failure
Prospectus misrepresentation
Promissory note violations
Prudent Investment Advisory Practices
Recovering Losses
Regulatory Agencies
Representation of investors in court with claims against investment advisors
Securities Arbitrations
Securities Fraud
Securities Fraud Investigations
Self-Dealing & Front-Running
Settlement and Mediation Representation
Slander / Libel
Suitability
Supervisors of Registered Representatives
Supervisory Violations and Lapses
State securities laws violations for any state in the country
Stockbroker/Brokerage Firm Malpractice or Malfeasance
Stockbrokers
Stockbroker Standard of Care
Stockbroker Violations
U-4 & U-5 Violations
Unauthorized Trading
Unauthorized Discretionary Trading
Wrongful Termination From Brokerage Firm Employment



    

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