Recent Accomplishments
- $43 million settlement for group of hedge funds on securities fraud claims against broker-dealer.
- $3.5 million settlement for an institutional investor against operators of a Ponzi scheme.
- $2,839,855 AAA arbitration award in favor of tech startup against venture capital firm and affiliates, subsequently confirmed as state court judgment.
- $2,366,673 FINRA arbitration award against Capitol Securities Management, Inc. in favor of two retirees.
- $1.275 million settlement for hotel owner against insurance company for hurricane damage claims.
- $1 million settlement for group of hedge funds against clearing firm for aiding and abetting fraud.
- $985,000 settlement in favor of real estate developer after obtaining federal court judgment piercing the corporate veil of group of construction companies.
- $894,774.11 settlement in favor of widow related to improper designation of beneficiary on annuity.
- $690,000 settlement against broker-dealer in favor of retiree arising out of misappropriate of assets by broker.
- $615,000 settlement against registered investment advisor in favor of professional athlete.
- $500,000 settlement with insurance company on behalf of hotel owner for damage from sprinkler leakage.
- $445,000 settlement in commercial fraud case for misappropriation of assets from a shopping center development.
- $350,000 settlement on behalf of retiree against broker-dealer.
- $330,138.36 settlement in favor of holder of promissory note, including recovery of all attorney's fees and costs of collection.
- $250,495 arbitration award for retiree against broker-dealer for unsuitable investments and unauthorized trading.
- $250,000 settlement in favor of two investors in failed startup bank.
- $132,000 settlement of securities arbitration in favor of university professor against broker dealer for recommendation of unsuitable investment strategy.
- $103,230.35 federal court judgment in favor of bankruptcy trustee against former management of bankrupt entity.
- Seized historic theater on behalf of investors from issuer of debentures.