Recovering Losses Caused by Investment Misconduct
Fraudulent Leasing Program
Represented 375 investors in state and federal actions relating to a fraudulent leasing program, collecting over $7 million for the investors.
Represented investor class in class action against a major law firm, collecting over $2.5 million.
Represented 60 individuals in an insurance Ponzi scheme and obtained a $9.5 million jury verdict.
Fraudulent Investment Offerings
Represented 47 individuals against a major Life Insurance company regarding a fraudulent investment offering, collecting over $5 million for the investors.
Premature Termination of Fund
Represented investor class in class action against mutual fund family regarding premature termination of a fund, collecting over $3 million for the investors.
Represented hundreds of individuals in arbitration and court proceedings relating to investments, collecting over $30 million dollars for the investors.
Corporate SEC Investigations
Represented “Inc. 100” corporation in SEC investigation, threatened delisting by the NASDAQ and class action securities litigation.
Officer SEC Investigation
Represented former Chief Operating Officer of major corporation and his family in an investigation by the SEC.
SEC Investigations and International Corporations
Represented Canadian corporation in SEC investigation, threatened delisting by the American Stock Exchange and application to the NASDAQ Stock Market, Inc.
Represented the Federal Deposit Insurance Corporation connected with the failure of a savings and loan associations, resulting in multimillion dollar judgments against culpable officers and directors.
Conducted an extensive investigation of potential securities law violations in connection with the operation by a brokerage firm of a “covered call” options program for the savings and loan association.
Represented a Fortune 100 company in an action contesting the sale of three $200 million vessels; the action proceeded simultaneously in administrative and judicial forums to a very successful negotiated settlement.
Government Agency Contracts
Litigated numerous cases involving contracts with government agencies, including several cases before the General Services Board of Contract Appeals.
Represented the inventor of drug compounds that have received national attention in contract negotiations with the inventor’s research hospital and with pharmaceutical companies interested in obtaining licenses for the compounds.
FINRA, the Financial Industry Regulatory Authority, is the dispute arm of the SEC. It has its own rules for mediation and trial of disputes arising from broker misconduct and securities fraud. Your broker agreement ensures your right to demand a hearing before FINRA to resolve investment disputes.
Securities Fraud occurs when brokers manipulate stocks or fail to properly disclose accurate information about a company’s operations, financials, and earnings, or engages in deceptive, misleading, or improper behavior that caused you financial harm, you need an experienced fraud lawyer.
Brokers must fairly and accurately disclose known investment risks. Misrepresentations and omissions in material disclosures related to an investment or its magnitude of risk that cause investor loss may rise to the level of misconduct. Brokers are liable for losses in misconduct matters.
Sometimes investor losses are a result of normal, though often unpredictable, market forces, The purpose of a fraud investigation is to determine if there is a connection between an investor's losses and a broker's misconduct. Competent fraud investigations are the main component of recovery.
The level of experience we offer to client includes decades of successful litigation, hundreds of people served, and millions of dollars recovered.
We are passionate about helping people whose savings have been swindled by fraud or misconduct on the part of their investment advisers.
Investment fraud and misconduct by brokers is often times tedious to prove. We are with you from investigation to arbitration.