Securities Litigations

Smith v. Jones [Confidential per settlement agreement], San Diego County Superior Court

Represented plaintiff company co-founder in individual fraud and breach of contract action for securities-related contract, as well as consolidated shareholder derivative action. Actions settled in 1999 on eve of trial for $750,000.00 (individual action) and prospective therapeutic relief (derivative action).

Meyer Group v. Beaver, et al., Orange County Superior Court

Represented defendants Alpine Securities Corporation and Colonial Stock Transfer, Inc. in complex, multi-party action alleging fraud, securities law violations, RICO, punitive damages, and other claims. In 1999, action settled against these defendants for total of $4,000.

Lucas v. Income Growth Management, San Diego County Superior Court

Represented defendant managing general partner of limited partnership in class action alleging breach of fiduciary duty and seeking accounting for alleged self-dealing and conflict of interest. Successfully defended against motion for class certification which was denied. In 1999, action settled for no monetary consideration.

Client Reviews

Tom, thank you for your all help. Among the three other attorneys I talked with, I chose you because you really listened, asked thoughtful questions and sought all information to understand my situation. That gave me confidence in you above all others. I am a believer in receiving feedback, so I...

Scott Yi, Securities Registered Representative

Thomas was very thorough, kind and truly cared about me and my case. He went above and beyond the call of duty. Every time I contacted him he me made me feel like a very important client. His skills, intelligence and demeanor lead to a victory in the courtroom!

Susan De Diminicantanio

As a business development consultant, there have been times to which I am in need of counsel for the review and strategic advice a range of diversified employment and compensation packages. In this sense, Thomas Mauriello has been my trusted counsel, paying particular attention to the settle nuances...

Emma Makinen, DOAP Kitchens, LLC

Our Family needed an attorney who was knowledgeable with FINRA and Tom proved to be very familiar with FINRA. We found him, trustworthy, thorough, honest and sympathetic during an emotionally stressful time with our Family.

Annette Hellmich

I would recommend Mr. Mauriello highly - - to anyone - - - wish I had more friends in the area who need an attorney! He was extremely knowledgeable, timely, courteous, - AND - he won my case! Would call him again in an instant should the need arise.

Nancy Brown

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