Case Results Dedicated to Delivering Results
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Case Results

Investor-Broker Arbitrations Results

  • Obtained pre-hearing dismissal of all claims. [FINRA 18-01073]
  • Obtained dismissal of all claims and expungement in favor of RIA. [FINRA 16-03129]
  • Obtained dismissal of all claims and expungement in favor of investment professional. [FINRA 10-02737]
  • Obtained dismissal for registered representative in customer arbitration involving $5 million claim. [NYSE 2001-008846]
  • Favorable resolution of seniors’ claims over investment product.
  • Favorable resolution of claims for defrauding elderly.
  • Obtained expungement in favor or registered representatives in multiple FINRA arbitrations. [FINRA 19-00660; FINRA 18-03265; FINRA 18-02998; FINRA 17-01634; FINRA 16-03129; FINRA 13-03563; FINRA 10-02737; FINRA 01-06014]

Finra & SEC Results

  • Represented public company in SEC investigation of internal controls.
  • Represented public company in SEC investigation of 10-K/10-Qs.
  • Represented hedge fund in SEC investigation of public company.
  • Represented public companies in FINRA insider trading investigations.
  • Obtained “No Action” and “Cautionary Action” letters from FINRA in investigations raising issues of selling away, outside business activity, sales practices, records retention, supervision, trade reporting and timing of U-4/U-5 disclosures.
  • Represented CCO in alleged Ponzi Scheme involving parallel investigations.
  • Represented broker’s broker in multi-year SEC investigation.
  • Resolved SEC 12(j) proceeding that did not include revocation of issuer securities.
  • Obtained rare exemption for broker dealer under FINRA taping rule.
  • Obtained rare pre-trial, voluntary dismissal of SRO disciplinary proceeding.
  • Vacated state securities bureau order to show cause seeking revocation of registered representative’s state securities license.
  • Represented CEO in state securities investigation raising blue sky issues.

Industry and Employment Dispute Results

  • Obtained award against broker-dealer in industry trade dispute. [FINRA 18-03952]
  • Obtained dismissal of all claims in industry trade dispute. [FINRA 16-00682]
  • Successfully defended broker-dealer and investment professionals in $22 million employment claim. [NASD 01-06939]
  • Obtained dismissal of all claims in industry contract dispute. [NASD 01-00050]

Securities Litigation Results

  • Obtained dismissal of all claims pled by plaintiffs, derivatively on behalf of a public company, against certain of the directors and officers of the company.
  • Obtained a report and recommendation from a Special Referee in the Supreme Court of New York, County of New York, recommending that the Court award approximately $7,500,000 in damages in connection with a breached convertible promissory note.
  • Represented investment bank in IPO litigation in SDNY. In re Initial Public Offering Securities Litigation, 728 F. Supp. 2d 289 (S.D.N.Y. 2010).
  • Obtained dismissal of securities class action fraud claims against research analyst on motion to dismiss. Bonanno v. Cellular Biomedicine Group, Inc., 2016 U.S. District Lexis 66841 (ND Cal. 2016)
  • Obtained dismissal of securities fraud action on a motion to dismiss. Grossberg v. Lasermedics, Inc., 1996 U.S. District Lexis 4041 (S.D.N.Y. 1996)

What Sets us apart? 

Experienced & Effective
  • 30+ Years of Collective Experience

    Our attorneys have over 30 years of collective experience representing clients in all aspects of securities and commercial litigation.

  • Contingency Fees for Our Securities Law Clients

    We will not receive a penny in attorney's fees unless a positive recovery is obtained in your case. Contact us to see if you're eligible.

  • Free Consultations

    We will assess the merits of your claims and help you decide on the next step.

  • Litigated Claims in Excess of $50 Million for Our Clients

    Our firm has successfully recovered over $50 million for our clients.

Testimonials

Word From Former Clients
    Calmly walked me through the process.

    “Due to his hard work, the hearing lasted less than 30 minutes with the judge dismissing the complaint.”

    - L.K.
    Successfully represented me in a number of matters

    “Attentive to every aspect of my matters, always available to speak with me, gave me great advice and fought hard for me every step of the way.”

    - I.S.
    Truly terrific in every way.

    “He cared, he was responsive, and he guided me through a difficult time with compassion and expertise.”

    - F.S.
    I could not recommend him highly enough!

    “He was there to talk me through any questions and concerns I had until we decided on the best option for me.”

    - Securities Industry
    Smart, cost-efficient, and gets results.

    “My go-to lawyer for arbitration and regulatory matters for years.”

    - B.D.
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