CME No. 14-0048-MA

Jan 22, 2015

OUTCOME: Award of monetary damages in favor of client

Dispute between members of CME involving allegations of embezzlement, conversion, and forgery

Case No. 11 L 007882

Sep 10, 2012

OUTCOME: Award of monetary damages in favor of client

Violation of Illinois Securities Laws of 1953 in connection with sale of unregistered promissory notes

2010 WL 2927404

Jul 19, 2010

OUTCOME: Dismissal of all claims against clients

FINRA No. 07-02841

Sep 25, 2009

OUTCOME: Defense verdict

FINRA No. 07-02877

Sep 22, 2008

OUTCOME: Verdict in favor of Client

NASD No. 03-09140

May 31, 2006

OUTCOME: Defense verdict

NASD No. 04-04899

May 10, 2006

OUTCOME: Defense directed verdict

NASD No. 05-02502

Mar 01, 2006

OUTCOME: Verdict in favor of Client

NASD No. 03-02886

Jun 09, 2004

OUTCOME: Pre-hearing dismissal of all claims against client

152 F.Supp.2d 1040

Jul 16, 2001

OUTCOME: Summary Judgment for defense