College Health and Investment, Ltd. v Esther Spero

N/A

OUTCOME: Final Judgment $21,041,285

This Final Judgment was entered against the defendant for fraud, breach of fiduciary duty, and civil theft pursuant to Sections 812.014 and 772.11, Florida statutes in 2010.

FINRA Arbitration

N/A

OUTCOME: Settlement $7,840,000

This FINRA arbitration involved a complex options trading strategy in the oil and gas sector for a Brazilian holding company against one of the largest Midwest broker-dealers in United States and resol ... ved through mediation on the eve of trial in 2010.

FINRA Arbitration

N/A

OUTCOME: Settlement $6,000,000

Jose E. Blanco Garrido, et al. v. UBS Financial Services Inc. of PR, et al.

N/A

OUTCOME: FINRA Arbitration Award $5,887,498

This FINRA arbitration against UBS Financial Services, Inc. and UBS Financial Services Inc. of Puerto Rico involve the overconcentration of Mr. Blanco’s family’s assets in Puerto Rico municipal bonds a ... nd closed-end bond funds.

State of Florida, Office of Financial Regulation v. Tri-Med Corp., et al.

N/A

OUTCOME: Federal Court Class Action Settlement $4,300,000

Mr. Pearce represented the investors as co-counsel with the Receiver in a class action against the accounting and legal professionals for allegedly aiding and abetting a Ponzi scheme.

Florida State Court

N/A

OUTCOME: Settlement $3,500,000

This $3.5 million settlement was in a state court action filed by Mr. Pearce on behalf of a trust for an elderly widow was against one of the largest corporate trustees in the country.

FINRA Arbitration

N/A

OUTCOME: Settlement $3,350,000

This FINRA Arbitration involved Puerto Rico investors who claimed their Puerto Rico broker-dealer overconcentrated and overleveraged their accounts in Puerto Rico municipal bonds and further made unsui ... table recommendations to “hold” those positions when it knew market conditions were perilous.

Jack Friedlander, et al. v. Margaretten Securities

N/A

OUTCOME: FINRA Arbitration Award $3,266,200

This arbitration involved misrepresentations and unsuitable recommendations that Claimants invest in complex structured products consisting of stripped coupon mortgage-backed securities and pass throug ... h certificates.