Attorney Nicholas J. Guiliano's Legal Cases

Securities and investment fraud

Malone et al v. Stoyeck et al, 4:21-cv-00130 (N.D. Ga. 2023)

Feb 13, 2023

OUTCOME: Judgement for Investors

Order affirming $1,969,713 Arbitration Award rendered before the Financial Industry Regulatory Authority (“FINRA”) Office of Dispute Resolution, Arbitration No. 18-04008, against Respondents alleging ... the violation of the anti-fraud provisions of the federal securities laws, churning or excessive activity, unauthorized trading, the fraudulent extension of margin credit, breach of fiduciary duty, common law fraud, and the violation of the Georgia Uniform Securities Act of 2008.

Securities and investment fraud

Schreiner v. Aregatta Sports and Entertainment, Inc, et al. Action No. 2:13-cv-02853 (PBT)(E.D. Pa. 2013)

Oct 02, 2013

OUTCOME:

Control person liability in action for sale of unregistered securities.

Securities and investment fraud

Mandell v. Reeve, Action No. 11-5238 (2d Cir. 2011)

Feb 04, 2013

OUTCOME:

Affirming Mandell v. Reeve, 2011 U.S. Dist. LEXIS 114804 (S.D. N.Y).

Securities and investment fraud

In Re: Royal Alliance Associates, Inc., Securities Litigation, MDL No. 2337 (J.P.M.L. Apr. 16, 2012)

Apr 16, 2012

OUTCOME:

Consolidation and transfer of injunction action against multiple customers as defendants by securities broker dealer seeking to avoid arbitration.

Securities and investment fraud

Ross H. Mandell v. Nicholas Spencer Reeve, et al., 2011 U.S. Dist. LEXIS 114804, Action No. 10-cv-6530 (RJS)(S.D.N.Y)

Oct 04, 2011

OUTCOME: 2011 U.S. Dist. LEXIS 114804

FINRA Code of Arbitration Procedure, due process, control person liability.

Securities and investment fraud

Franko v. Ameriprise Financial Services, Inc. Civil Action No. 09-cv-09 (JP)(E.D. Pa. 2009)

Oct 29, 2009

OUTCOME:

Petition to Vacate Arbitration Award under Federal Arbitration Act.

Securities and investment fraud

Multi-Financial Securities Corp. v. Brown, 2002 U.S. Dist. LEXIS 26527, ACTION NO. 02-3828 (E.D. Pa)

N/A

OUTCOME:

Enforcing arbitration against securities broker-dealer by customer of associated person engaged in the sale of unregistered securities.

Nicholas J. Guiliano's Legal Cases (7)

Malone et al v. Stoyeck et al, 4:21-cv-00130 (N.D. Ga. 2023)

Schreiner v. Aregatta Sports and Entertainment, Inc, et al. Action No. 2:13-cv-02853 (PBT)(E.D. Pa. 2013)

Mandell v. Reeve, Action No. 11-5238 (2d Cir. 2011)

In Re: Royal Alliance Associates, Inc., Securities Litigation, MDL No. 2337 (J.P.M.L. Apr. 16, 2012)

Ross H. Mandell v. Nicholas Spencer Reeve, et al., 2011 U.S. Dist. LEXIS 114804, Action No. 10-cv-6530 (RJS)(S.D.N.Y)

Franko v. Ameriprise Financial Services, Inc. Civil Action No. 09-cv-09 (JP)(E.D. Pa. 2009)

Multi-Financial Securities Corp. v. Brown, 2002 U.S. Dist. LEXIS 26527, ACTION NO. 02-3828 (E.D. Pa)