No fee, no obligation, just an opportunity for  you to sit down with nationally recognized securities professionals who will tell you the truth about the likelihood of your winning in securities arbitration. 

And,  if we think we can help  you, we have several recovery options available, including a no recovery, no fee option. 

Contacting  us  may well be the
smartest investment move you
ever made.

About Our Law Firm

Professional Experience

Mr. Canning has been practicing law since 1990.  Since 1994, he has devoted most of his practice to representing investors with claims against stock brokers, financial planners and registered investment advisors, in court and in arbitration.
Mr. Canning has also represented individual brokers in regulatory investigations, and in employment disputes with brokerage firms.

Memberships
State Bar of California
Wisconsin State Bar
Humboldt County Bar Association
Trial Lawyers for Public Justice
Public Investors Arbitration Bar Association (PIABA)

Education:

Law School: 
University of California, Hastings College of the Law:  J.D., 1990. Graduated in top third of class.  Member of the Moot Court Board and a technical editor for the Hastings Constitutional Law Quarterly

Undergraduate:
University of Texas, Dallas:  B.G.S., 1981; graduated cum laude

Admitted to Practice
All state courts in California and Wisconsin; U.S. Court of Appeals for the Ninth Circuit;  U.S. District Courts for the Northern District of California and for the Central District of California

Published Decisions & Articles:
Broadcort Capital v. Dutcher, 859 F.Supp. 1517 (S.D.N.Y. 1994)
Petrie v. Pacific Stock Exchange 982 F.Supp. 1390 (N.D.Cal. 1997)
Reed v. MSC, 106 Cal.App.4th 1359, 131 Cal.Rptr.2d 524 (2003)
Fiduciary Duty in California,  PIABA Bar Journal, December 2000.
Panelist, Choice of Law in Arbitration, PIABA California Mid-Year Meeting, February, 2003
Panelist,  Elder Abuse Remedies in Securities Arbitration, PIABA California Mid-Year Meeting, February, 2004

Panelist,  The Problem Arbitrator, PIABA California Mid-Year Meeting, March 2005

Our Team also includes:

Irwin Stein, a recognized expert in matters relating to investment fraud in the financial services industry. Mr. Stein is an attorney licensed in New York.  He served as counsel to both Paine Webber and EF Hutton. For much of the 1990's, Mr. Stein taught finance and economics in the Business School at Golden Gate University in San Francisco, California. His expert opinion has been sought by investors, financial institutions and government agencies and he has testified in more than 150 litigated matters. He has conducted an extensive study of investment fraud and the elderly. Mr. Stein is currently on the Board of Advisors to the Investor Justice Project of the University of San Francisco School of Law.
 
Richard Sacks, founder of Investors Recovery Service,  is recognized as an expert in securities arbitration. Mr. Sacks has participated in over 1000 separate arbitration claims against brokerage firms since 1991. He has tried over 250 claims to a decision and has participated in 200 plus mediations.

He has assisted both the NASD (now known as FINRA (Financial Industry Regulatory Authority) and Securities and Exchange Commission on numerous regulatory matters, including fraudulent offering materials, junk bonds, limited partnerships and oil drilling ventures. Mr. Sacks has participated on various securities industry forums to improve the arbitration process. He has testified before the California Judicial Council and the California Legislature and helped to enact laws designed to protect the consumer in securities arbitration.

Mr. Sacks has seventeen years experience as a licensed stockbroker, including seven years as branch manager and registered principal. Mr. Sacks is knowledgeable of most sources of controversy including failure to supervise, failure to follow customer’s instructions, suitability, misrepresentation, margin, excessive trading (churning), unauthorized transactions, market manipulation, due diligence, need for a reasonable basis, and breach of fiduciary duties. Mr. Sacks is currently on the Board of Advisors to the Investor Justice Project of the University of San Francisco School of Law.

On the industry side, Mr. Sacks represents stockbrokers involving employment disputes, regulatory matters, and wrongful termination. He has extensive engagement as an expert consultant, and is actively involved in representation of brokers in NASD disciplinary matters.

Tanya Sacks is highly experienced in dealing with regulatory agencies. She is an experienced, organized and effective administrator.  Ms. Sacks is the liaison between the firm and various regulatory agencies, seeing that the paper properly flows through the system. Ms. Sacks works with our clients, aiding them through the arbitration process.