Stacey is a shareholder located in Keesal, Young & Logan’s Long Beach office. She has successfully represented securities broker-dealers and banks in jury trials, bench trials, class actions, and hundreds of arbitrations.
Securities: Stacey regularly appears in state and federal courts and in securities arbitrations before the Financial Industry Regulatory Authority (FINRA). Stacey’s experience includes defending claims alleging violations of the Securities Exchange Act of 1934 (Rule 10b-5), violations of the California Corporations Code, excessive mark-ups and commissions, unauthorized trading, failure to hedge, overconcentration, margin abuses, collars and restricted stock (Rule 144), breach of fiduciary duty, suitability, concealment, conversion, breach of fiduciary duty, money-laundering, failure to supervise, negligence, and elder abuse. Stacey also has advised and defended firms and registered representatives in securities regulatory inquiries initiated by FINRA, the New York Stock Exchange, and the California Department of Corporations.
Banking: Stacey has successfully defended national and community banks in claims alleging wrongful foreclosure, wrongful mortgage lending and underwriting practices, claims of oral promises to loan money or extend deadlines, breach of contract, breach of the implied covenant of good faith and fair dealing, and alleged violations of federal and California banking statutes.
Privacy and Cybersecurity: Stacey is certified by the… Read More