Securities
Cases of Note
- Representative Matters
- Customer Disputes
- Regulatory Compliance
- Directors and Officers Litigation
- Shareholder Disputes
- Represented Broker Dealer and Registered Representatives in Louisiana FINRA Arbitration against numerous Customer complaints in the alleged fraudulent sale of an international telecom stock where claims were in excess of $25 million.
- Represented Broker Dealer in FINRA Arbitration in Arizona where customer alleged Registered Representative churned account and recommended unsuitable investments.
- Represented Broker Dealer and Registered Representative in Tennessee State Court action where a retired school teacher customer alleged switching in the replacement of a variable annuity and alleged the recommended subaccounts were unsuitable.
- Represented Broker Dealer in California FINRA Arbitration where customer alleged Registered Representative churned account.
- Represented Registered Representative in Georgia FINRA Arbitration where customer alleged unsuitable recommendations related to the Morgan Keegan Bond Fund.
- Represented Broker Dealer and Registered Representative in Pennsylvania FINRA Arbitration where customer made allegations of churning, securities fraud, suitability and unauthorized trading in the handling of an IRA account.
- Represented two New York Registered Representatives in FINRA disciplinary action with FINRA’s Jericho, NY Office.
- Represented Broker Dealer and Registered Representative in a Kentucky FINRA Arbitration where multiple customers alleged churning, securities fraud and unauthorized trading in the handling of their brokerage accounts.
- Represented Registered Representative against multiple customer complaints involving the sale of variable annuities in FINRA Arbitrations with total claims in excess of $2 million.
- Represented Broker Dealer and Registered Representative against customer complaint involving wrap account where Claimant alleged overall portfolio was unsuitable for her needs.
- Represented Broker Dealer and Registered Representatives in numerous customer complaints throughout the United States and regulatory actions brought by the Arkansas Securities Commission arising out of allegations of unauthorized trading and churning where the claims where in excess of $5 million.
- Represented Broker Dealer and Registered Representative in multiple arbitrations where allegations included unauthorized trading and unsuitability in the sale of B-share mutual funds.
- Represented Broker Dealer and Registered Representative against customer complaints where customers purchased real estate investments which they claim were unsuitable.
- Represented Broker Dealer in state court against claims involving alleged ponzi scheme perpetrated by Registered Representative.
- Represented Broker Dealer in multiple cases in state court where non-profit charitable organizations alleged Registered Representative recommended a private placement investment which turned out to be a ponzi scheme.
- Represented Registered Representative against regulatory claims brought by the SEC and the State of Arkansas for allegedly engaging in fraudulent conduct when selling securities to seniors.
- Represented Broker Dealer in regulatory action brought by the Mississippi Secretary of State for allegations of failing to maintain appropriate supervisory controls.
- Represented Broker Dealer and Registered Representative in FINRA Arbitration in Mississippi where it was alleged customer account was opened by
- Registered Representative without Registered Representative ever meeting customer and customer’s funds were invested in a ponzi scheme.
- Represented Financial Advisor and Registered Investment Advisor firm in multiple Arkansas AAA and FINRA Arbitrations where customers alleged their retirement money was put into an overly aggressive trading program.
- Represented Broker Dealer and registered representatives against over 100 Customer complaints in the alleged fraudulent sale of an international telecom stock where claims were in excess of $25 million.
- Represented Registered Representative against multiple customer complaints involving the sale of variable annuities in FINRA Arbitrations with total claims in excess of $2 million.
- Represented Broker Dealer and Registered Representatives in numerous customer complaints throughout the United States and regulatory actions brought by state securities commission against allegations of unauthorized trading and churning where the claims where in excess of $5 million.
- Represented Broker Dealer and Registered Representative in multiple arbitrations where allegations included unauthorized trading, unsuitability in the sale of B-share mutual funds.
- Represented Broker Dealer in state court against claims involving alleged ponzi scheme perpetrated by registered representative.
- Represented registered representative in several FINRA arbitrations and pre-suit claims involving allegations of unsuitable options and margin trading in over 200 investment accounts resulting in losses in excess of $4 million.
- Represented broker dealer in FINRA arbitration brought by multiple customers involving alleged selling away activities of registered representatives with total claim in excess of $3.8 million.
- Represented registered representative in several FINRA arbitrations brought by multiple customers involving alleged selling away activities spanning six years and involving over $8 million of assets
- Routinely represents broker dealer and registered representatives in FINRA arbitrations involving the alleged unsuitability of investments in real estate investment trusts, equipment leasing funds, direct participation programs and other alternative securities.
- Represented Registered Representative against regulatory claims brought by the SEC and the State of Arkansas for allegedly engaging in fraudulent conduct when selling securities to seniors.
- Represented Broker Dealer in regulatory action brought by the Mississippi Secretary of State for allegations of failing to maintain appropriate supervisory controls and document retention.
- Represented registered representative in regulatory actions brought by the Georgia Securities Commission, Alabama Securities Commission, Department of Labor, and the FINRA Disciplinary Enforcement Division.
- Represented registered representative in FINRA Investigation in case regarding mutual fund sales.
- Represented registered representative in a FINRA Enforcement action regarding inappropriate private deals with customer.
- Represented registered representative in FINRA Enforcement action regarding loans from clients.
- Represented an Investment Advisor in an investigation by the Georgia Securities Department.
- Represented CEO and CFO in action brought by bankruptcy trustee to recover $75 million in connection with a chain of failed grocery stores..
- Represented officers and directors of a large consulting corporation in a shareholder derivative action brought by minority shareholder regarding a failed acquisition.
- Represented founding CEO of energy corporation in a case alleging violations of §12 and §15 of the Securities Act of 1933 and the Alabama Securities Act.
- Represented majority shareholder of an emergency medical company against a $15 million dollar squeeze out claim.
- Represented majority shareholder of an insurance company against a $2 million dollar squeeze out claim.
- Represented CEO of a corporation against breach of fiduciary duty claims brought by minority shareholder employee that was terminated.
- Represented CEO in claim brought by senior note holders in multiple states regarding violations of various state securities laws and federal securities laws.