Six-Figure Confidential Recovery

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 wrongfully conveyed policy’s cash value to a third-party. Recovery amount is confidential.

Six Figure Confidential Settlement

Practice Area: Securities / Investment Fraud

Date: June 20, 2016

Outcome: Confidential Six-Figure Settlement

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

$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 of estate alleging breach of fiduciary duty and non-compliance with legal obligations owed to estate beneficiaries.

Six Figure Confidential Settlement

Practice Area: Securities / Investment Fraud

Date: March 2, 2016

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

Successfully represented investor in obtaining confidential six-figure recovery of damages due to¬†financial advisor’s wrongful handling of investment portfolio that included churning, unauthorized trading and excessive commissions.

$2.2 Million Recovery After Arbitration Hearing

Practice Area: Securities / Investment Fraud

Date: May 3, 1996

Outcome: $2.2 Million Arbitration Award for Investor.

Served as lead counsel in two-week final hearing resulting in $2.2 Million award. Represented retired restaurant owner that suffered severe losses due to complicated investment scheme wherein clients’ financial advisor and accountant conspired to forge financial records and defraud client out of his life’s savings. Claims included severe breaches of fiduciary duty, conspiracy, forged financial…

Multi-Million Dollar Recovery on Behalf of Investor Group

Practice Area: Securities / Investment Fraud

Date: February 20, 2004

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

Represented multi-party 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. Amount of settlement is confidential.

$3.2 Million Recovery After Arbitration Final Hearing

Practice Area: Securities / Investment Fraud

Date: August 15, 2011

Outcome: $3.2 Million Arbitration Award for Investors.

Recovered $3.2 million arbitration award against private wealth management firm after six-day final hearing. Claims included securities fraud and misrepresentation in connection with the solicitation and sale of complicated hedge fund investments.

Confidential Seven-Figure Recovery for Investor

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. Amount of settlement is confidential.

Successfully Obtained Expungement of Complaints 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

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