Mr. Fleming is a partner of the firm. He focuses his practice on all areas of business law with a specialty in securities brokerage litigation. Mr. Fleming has represented a wide variety of national and local financial institutions, including Wells Fargo Bank, Wells Fargo Advisors, Pacific Life, Morgan Stanley, Wedbush Securities, TD Ameritrade, Mutual Service Corporation, Associated Securities Corp. and others. He represents these financial institutions and their financial advisors in all phases of litigation, including arbitration, mediation and regulatory matters.
Mr. Fleming is a panel arbitrator for the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). He has also served as a judge pro tem for the Los Angeles Superior Court. Mr. Fleming has also served for many years as general counsel to the California Association of Independent Broker-Dealers and the National Association of Independent Broker-Dealers.