Iuliano v. Global Executive Mortgage, Inc.
Dec 31, 2006OUTCOME:
Lead Counsel in certified FLSA collective action.
James D. Keeney's Legal Cases (4)
Sarasota, FL
Securities and investment fraud Lawyer at Sarasota, FL
Practice Areas: Securities & Investment Fraud
Willms v. Banc of America Investment Services, Inc.
Aug 11, 2006OUTCOME: Settled
Sarbanes-Oxley Whistleblower case alleging “Rogue Office†violations of the securities laws. Case settled after being reported in National Law Journal as innovative legal theory of great concern t ... o the brokerage industry.
Montero v. TD Waterhouse Investor Services, Inc.
Dec 22, 2005OUTCOME: Favorable customer award
Securities Arbitration; favorable customer award rendered December 22, 2005; Case reported on Bloomberg News Service, in Wall Street Journal and internationally.
Gauzza v. Sterne Agee et al.
N/AOUTCOME: Court affirmed FINRA arbtration award with puni
Client was awarded damages plus $100,000 in punitive damages, plus interest at 11 percent per annum going back several years, plus costs and attorney fees, by FINRA arbitration panel, after 4-day heari ... ng in Tampa, Florida. Brokerage firm attempted to vacate the award in court but Sarasota County Circuit Court affirmed the award. Brokerage firm appealed but eventually withdrew its appeal and paid the award. Exact amount of attorney fees is still in dispute.
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