Seattle, WA
Securities and investment fraud Lawyer at Seattle, WA
Practice Areas: Securities & Investment Fraud, Arbitration, Wills & Living Wills
OUTCOME: Judgment Granted for Defendants (the Investors)
AXA sought to enjoin a FINRA arbitration claim filed by investors, arguing they were not "customers" per FINRA Rules. The District of Idaho granted summary judgment for the investors, finding they we ... re "customers".
OUTCOME: Reversed and remanded
The Court of Appeals of Iowa overturned a lower court ruling that a class action was subject to a "limited fund", non-opt-out settlement. The Court of Appeals remanded for further proceedings on this ... issue.
OUTCOME: Arbitration award confirmed.
The City and County of Denver confirmed an arbitration award against a FINRA member, one of its financial advisors, and executives and officers of the firm. The arbitration award found the Respondents ... liable for $550,000 plus $7,500 in costs for investors' losses in private placements, Striker Petroleum and Medical Capital.
OUTCOME: Motion to dismiss denied in part, granted in part
2006 U.S. Dist. LEXIS 67145 (N.D. Ill. Aug. 30, 2006). The motion to dismiss was granted in part, denied in part. The complaint alleged sexual harassment by a teacher at a high school.
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