State Court Litigation

Practice Area: Insurance

Date: February 1, 2017

Outcome: Confidential Recovery in Favor of Client

Successfully represented owner of “key man” life insurance policy in law suit filed against insurance-based financial advisor asserting claim for negligent procurement of insurance. Financial advisor negligently provided policy owner with a Collateral Assignment Form that unintentionally conveyed policy owner’s policy cash value to a third-party. Recovery amount is confidential.

State Court Litigation – Six Figure Confidential Settlement

Practice Area: Securities / Investment Fraud

Date: June 20, 2016

Outcome: Confidential Six-Figure Settlement

Successfully obtained confidential six-figure recovery in law suit brought against insurance-based financial advisor who solicited and sold an unsuitable investment program wherein client’s business receivables were used to finance the purchase of annuities.

State Court Litigation – $2.9 Million Recovery in Fiduciary Litigation

Practice Area: Litigation

Date: April 29, 2016

Outcome: $2.9 Million Dollar Recovery for Client

Served as lead trial counsel in complex estate litigation resulting in $2.9 Million recovery for client in suit brought against Personal Representative and others alleging breach of fiduciary duty and non-compliance with legal obligations owed to beneficiary.

FINRA Arbitration – Six Figure Confidential Settlement

Practice Area: Securities / Investment Fraud

Date: March 2, 2016

Outcome: Substantial Six-Figure Recovery (amount is confidential)

Successfully represented foreign national investor in obtaining confidential six-figure recovery of damages due to churning, unauthorized trading and excessive commissions.

Regas vs. Paine Webber – $2.2 Million Arbitration Award

Practice Area: Securities / Investment Fraud

Date: May 3, 1996

Outcome: $2.2 Million Arbitration Award for Investor.

Served as lead trial counsel for retiree investor who suffered severe losses due to complicated investment fraud, breach of fiduciary duty and forged documents resulting in embezzlement of funds from client’s investment account

State Court Litigation – Multi-Million Dollar Confidential Settlement

Practice Area: Securities / Investment Fraud

Date: February 20, 2004

Outcome: Multi-Million Dollar Recovery (amount is confidential)

Represented investor group in obtaining multi-million dollar recovery due to damages resulting from public company’s misrepresentations and failure to properly report current financial conditions, as required by law.

FINRA Arbitration – $3.2 Million Arbitration Award

Practice Area: Securities / Investment Fraud

Date: August 15, 2011

Outcome: $3.2 Million Arbitration Award for Investors.

Represented investors (who wish to remain anonymous) in obtaining $3.2 million arbitration award against private wealth management firm due to securities fraud and misrepresentation in connection with the solicitation and sale of complex hedge fund investments

FINRA Arbitration – Seven Figure Confidential Settlement

Practice Area: Securities / Investment Fraud

Date: October 12, 2011

Outcome: Substantial Seven-Figure Recovery (amount is confidential)

Successfully represented investor in obtaining seven-figure recovery due to stock broker’s negligent misrepresentations concerning the risks associated with investment products that were solicited and purchased for investor’s account.

FINRA Arbitration Award – Expungement of Complaint From Financial Advisor Form U-4

Practice Area: Securities / Investment Fraud

Date: December 22, 2014

Outcome: Successful prosecution of case seeking award for expungement of customer complaints

Successfully represented financial advisor in action to expunge five UBS customer complaints from advisor’s Form U-4 where complaints arose from industry-wide failure of Auction Rate Securities market.

Ratings and Reviews

Distinguished Justice Advocates Badge