Broker-Dealer and Registered Representative
Stephen Lau has extensive experience litigating high-profile cases for both public entity and business clients. “When clients engage our services, what they ultimately seek from us is peace of mind. People embroiled in litigation suddenly find their reputation, assets, and livelihood all hanging in the balance. We give our clients the comfort of knowing that their lawyers have mastered every factual and legal detail of their case, and have marshaled those details into the best advocacy possible.” more...
- Maria Esther Rey, et al. v. Madera Unified School District, et al., – Cal. App. 4th – (2012), represented the Madera County Board of Education and the Madera County Committee on School District Organization in suit brought under the California Voting Rights Act. Won summary judgment in trial court; affirmed on appeal.
- Wachovia Securities v. Stifel Nicolaus LLC and M. Chris Nielsen (FINRA 2010), successfully defended individual broker against claims of trade secret misappropriation and breach of fiduciary duty in proceedings arising from broker’s move from A.G. Edwards to Stifel Nicolaus following Wachovia Securities’ acquisition of A.G. Edwards. Won FINRA arbitration proceeding, including an attorney’s fee award of $282,143 in client’s favor. Won confirmation of award in Superior Court, and affirmance on appeal. Then won an award of appellate fees of $110,277. more...