Chicago, IL
Securities and investment fraud Lawyer at Chicago, IL
Practice Areas: Securities & Investment Fraud, Class Action, Financial Markets and Services
OUTCOME: Claimants received an award in the amount of $175,000
Multi-client FINRA arbitration claim where Claimants invested in an IPO where the shares had a six-month lock-up period. Claimants alleged that Respondent failed to transfer the shares into their acco ... unts until three weeks after the lock-up period ended, which caused them to lose money as the price of the stock dropped by the time they were able to sell.
OUTCOME: $293,660 for Claimant including full compensatory damages, punitive damages and attorneys' fees.
FINRA arbitration proceeding where Claimant investor alleged that his financial advisor recommended that he borrow substantial sums on margin to fund the purchase of unsuitable securities.
OUTCOME: Award of $310,000 to Claimant which included $100,000 in punitive damages
FINRA arbitration case where Claimant investor alleged that his financial advisor improperly used his money for private investment deals that benefitted the advisor.
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