Los Angeles, CA
Securities and investment fraud Lawyer at Los Angeles, CA
Practice Areas: Securities & Investment Fraud, Arbitration, Financial Markets and Services
OUTCOME: Award of $260,000
FINRA Case Number: 11-01043 2012 FINRA Arb. LEXIS 808 (2012) Negligence; gross negligence; unsuitability; breach of fiduciary duty; supervisory negligence; civil fraud; breach of FINRA conduct rules; ... breach of SEC rules and the Securities Exchange Act of 1934, by investor against stock brokerage firm.
OUTCOME: Award of $400,000 plus attorneys fees
FINRA CASE NO. 09-02659 2010 FINRA Arb. LEXIS 524 April 5, 2010 unsuitable investments, negligence, fraudulent transactions, falsification or concealment of facts, breach of fiduciary duty, and fa ... ilure to supervise.
OUTCOME: Award of $5,000.000, including punitive damages
FINRA CASE NO. 05-03135 2006 NASD Arb. LEXIS 774 May 3, 2006 Unauthorized and unsuitable trading, and document falsification.
OUTCOME: Award of $280,000
FINRA CASE NO. 04-06645 2005 NASD Arb. LEXIS 2896 December 15, 2005 Fraudulent misrepresentation, unauthorized and unsuitable trades.
OUTCOME: Award of $369,000
FINRA Case No. 08-00533 2009 FINRA Arb. LEXIS 620 Unauthorized trading
OUTCOME: Award of $200,000
FINRA Case Number: 02-03618 2004 NASD Arb. LEXIS 1283 June 10, 2004 Misrepresentations, churning, unauthorized and unsuitable trading.
OUTCOME: Award of $700,000
FINRA Case Number: 03-00749 2004 NASD Arb. LEXIS 1069 May 21, 2004 Fraud and unauthorized trades.
OUTCOME: Award of $3,000,000 including punitive damages
FINRA CASE NO. 02-06393 2004 NASD Arb. LEXIS 7 January 5, 2004 Unauthorized and unsuitable trading of stocks, and violations of securities laws.
OUTCOME: Award of $1,560,000, including punitive damages
FINRA Case Number: 02-07563 2004 NASD Arb. LEXIS 54 January 2, 2004 Negligent investments and supervision.
OUTCOME: Award of $229,000
FINRA CASE NO. 02-03324 2003 NASD Arb. LEXIS 1950 October 31, 2003 Negligence, fraud, unauthorized and unsuitable investments.
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