About Charles Field

Charles H. Field is a Partner in the San Diego office of Sanford Heisler Sharp, LLP, a national law firm with offices in the District of Columbia, New York, California, Tennessee, and Maryland, and a Co-Chair of the firm’s Financial Services Litigation Practice. He received his J.D. from McGeorge Law School and his B.A. from Indiana University-Indianapolis. Mr. Field also completed European legal studies at the University of Edinburgh and the University of Salzburg.

Mr. Field has been practicing in the securities law area for more than 28 years. His practice focuses on protecting the interests of investors. Having served from 2002 to 2013 as the General Counsel of Nicholas-Applegate Capital Management and its successor, Allianz Global Investors Capital, he brings a combination of private practice experience and a deep knowledge of the laws governing investment advisers, broker-dealers, and commodity trading advisers, which he uses to assess whether a seller has breached a legal obligation and to evaluate whether an aggrieved investor can recover damages. In addition to his General Counsel experience, he has held industry roles as Chief Compliance Officer, FINRA General Securities Principal, General Options Principal, and General Municipal Securities Principal.

Mr. Field understands the daily activities and needs of investors and other market participants. He has been involved in matters related to employee relations, including bonus structures, management of 401(k) plans, wage and hour compliance, employment discrimination, and wrongful termination.

Under the ERISA laws, Mr. Field represents employees challenging their employers’ mishandling of their 401 (k) plans and violation of fiduciary standards related to the plan’s investments. Actions on behalf of investors can be brought against employers for mismanagement of investments and for charging inappropriately high fees.

The elderly are particularly vulnerable to financial abuse. Mr. Field represents elder victims of financial abuse under state laws, including California Elder Abuse Law. Seniors are often dependent on others to handle their personal and financial affairs and unfortunately, this leaves them vulnerable to financial advisors who take advantage of a lack of oversight.

Investors, both the most sophisticated and novices, are vulnerable to stockbrokers, investment advisers and financial planners who operate not in the client’s interest, but in their own interest by churning accounts, buying unsuitable investments and charging excessive fees. Mr. Field seeks justice for abused investors, based on decades of experience and his knowledge of the laws in place to protect investors.

Another risk area for investors is the sale of various forms of annuity contracts and universal life schemes — retirement, insurance, and saving products — promising to be the “silver bullet” of investments with unusually high yields and often a cash bonus paid up front. Unfortunately, the real benefit is the commissions paid to the agents and not the dividends paid to the investor. A number of class actions have been filed and settled in this area of continuing the abuse. Sanford Heisler Sharp will analyze your policy and the sales materials and advise you on the appropriate course of action.

Mr. Field is licensed to practice in California and Indiana and in the Federal Court of the Southern District of California. He is a member of the San Diego and California Associations and is a former member of the Board of Directors of the National Society of Compliance Professionals. He is a frequent speaker to business, professional and service groups on a variety of securities law and regulatory topics