Contact us if your broker has made unsuitable recommendations,
excessive trading, misrepresentation, unauthorized trading, etc.

Featured in ”Public Investors Arbitration Bar Association Journal” for large Awards and punitive damages for Investors.

Investor Awarded Nearly $1,000,000
FINRA Case
Case involving unsuitable investments, misrepresentation, breach of fiduciary duty and violation of NASD rules. Our client was awarded $966,176 including $750,000 in punitive damages. The Arbitration Panel found by clear and convincing evidence that the brokerage committed fraud in customer’s account (Three Lyons Limited Partnership v. The Harriman Group).

$10,000,000 Defense Verdict
In 2014 our firm successfully defended a commodity brokerage against claims of $10,000,000. The Plaintiff was awarded nothing and his case was dismissed.

Customer Wins Over $500,000 In Arbitration
FINRA Case
A case of unsuitable investments, churning and failure to supervise. The three man arbitration Panel awarded our client $510,000. Case demonstrated use of documents alone could win without testimony of investor who was deceased (Estate of James L. Thomas v. Raymond James Financial Services).

$365,000 Walk Away On Broker Note
FINRA Case
In 2014 we represented a broker who was the victim of religious discrimination by his brokerage. As a result he was able to walk away from his $365,000 promissory note.

Investor Housewife Wins $250,000 Against Brokerage
FINRA Case
Our client was defrauded by brokers and recovered all her losses of $245,000 in an Award which included a $5,000 sanction on brokerage for discovery violations (Nicholas v. Fox & Company Investments Inc.).

Settled 5 Broker Note Cases In 1 Mediation
FINRA Case
We successfully settled five broker promissory note cases in one consolidated mediation. Our firm worked efficiently with our brokers to get them good results and fair settlements.

Widow Wins Almost $200,000
FINRA Case
Case for unsuitable investments and failure to supervise. Our client was a retiree who was awarded $170,000 for an improper variable annuity bought for her account (Evelyn Smiles v. A.G. Edwards & Sons).

Broker Wins $175,000 In Arbitration
AAA Case
Our client, an ex-UBS broker, was awarded over $175,000 in a case where her former brokerage defamed her (Forster v. Rosen).