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