SEC v. Ariel Quiros et. al. 16-cv-21301
Apr 06, 2021OUTCOME: $8,000,000 settlement
Jay Peak Investors Receive Final Approval of $8 million dollar settlement against immigration attorneys
Sara Elizabeth Hanley's Legal Cases (11)
Hoffman Estates, IL
Securities and investment fraud Lawyer at Hoffman Estates, IL
Practice Areas: Securities & Investment Fraud, Class Action
Jyll Brink v. Raymond James & Associates, Inc.; Case No.: 15-cv-60334
Oct 25, 2019OUTCOME: $15,000,000 settlement
Investors file national class action lawsuit against Raymond James alleging company charged customers unauthorized, hidden fees.
Attorney Hanley Serves as a FINRA Arbitrator
Nov 01, 2017OUTCOME: FINRA Award
Attorney Hanley serves as an arbitrator to a FINRA Arbitration case involving retired investors’ disputes against Morgan Stanley.
$150 Million Dollar Settlement
Jun 30, 2017OUTCOME: Class Action Settlement
Investors actions against Raymond James arose from the management and transfer of funds and margin loans among accounts and the class action claim was settled for $150 million dollars.
Award of Compensatory Damages, Interest, Attorneys’ Fees & Expert Witness Fees
Feb 14, 2017OUTCOME: FINRA Award
Investors sued UBS and UBS was found liable for failure to supervise (negligence), common law fraud, breach of contract and breach and breach of fiduciary duty.
McGraw v. Peter Bruno and Wall Street Money Center Corporation
Apr 29, 2015OUTCOME: Respondents are jointly and severally liable and shall pay to Claimant compensatory damages in the amount of $125,000.
Claimant alleged violation of industry rules, including but not limited to FINRA's customer suitability standard (Rule 2310) and Rules 3010 and 2110; breach of the duty of care; negligence; breach of c ... ontract; breach of fiduciary duty; common law fraud negligent supervision; and liability pursuant to doctrines of agency, respondeat superior and vicarious liability.
Finkel, on her own behalf and on behalf of those similarly situated v. Newbridge Securities Corporation
Apr 02, 2015OUTCOME: Final Order and Judgment Approving Class Action Settlement
A former customer of Newbridge, Ursula Finkel, sued Newbridge Securities, alleging that the handling fees Newbridge charged on fee-eligible transactions were unreasonable and exceeded Newbridge's direc ... t and actual costs in processing those transactions.
Richard Remington v. Omar Ibrahim Hassan and John Thomas Financial
May 06, 2014OUTCOME: Claimant was awarded compensatory damages of $157,950 and Respondent was further ordered to pay Claimant $5,100 in discovery sanctions.
Claimant, Richard Remington, was represented by Sara Hanley of the Law Offices of Place and Hanley. Claimant asserted causes of action including suitability; common law fraud; negligence; breach of f ... iduciary duty; failure to protect; failure to supervise; misrepresentations and omissions; failure to execute; misconduct; violations of industry rules; and breach of contract. The causes of action relate to Claimant's investments in Proshares Exchange Traded Funds and America West Resources stock.
Herbert Richman v. Morgan Stanley Smith Barney, LLC
Apr 10, 2014OUTCOME: Claimant was awarded compensatory damages of $150,000.
Claimant, Herbert Richman, was represented by Randall Place, Esq. and Sara Hanley, Esq. of the Law Offices of Place & Hanley. Claimant asserted causes of action relating to: unsuitability; negligence; ... breach of contract; breach of fiduciary duty; common law fraud; and negligent hiring, retention and supervision. The causes of action related to the following: 1) exchange of three Sun Life variable annuities into one MetLife variable annuity, 2) exchange of a Pacific Life annuity to a Prudential Premier Variable annuity and 3) exchange of a John Hancock annuity to a Prudential Premier Variable annuity.
Carl Cosio v. Merrill Lynch, Pierce, Fenner & Smith, UBS Financial Services, Inc. and Rafael A. Calleja
Oct 04, 2011OUTCOME: Claimant was awarded compensatory damages of $248,874.41 plus pre-judgement interest.
Claimant, Carl Cosio, was represented by Randall Place, Esq. and Sara Hanley, Esq. of the Law Offices of Place & Hanley. Claimant asserted the following causes of action: 1) violation of FINRA custome ... r suitability standard (Rule 2310); 2) fraud in violation of Fl. Stat. 517; 3) civil theft or exploitation in violation of Fl. Stat. 772; 4) suitability; 5) breach of fiduciary duty; 6) negligence; and, 7) negligent hiring, retention and supervision; 8) respondeat superior; and 9) common law fraud. The causes of action relate to the alleged purchase of various unspecified securities and sale of various securities without authorization including, but not limited to, Bank of America Corporation, Exxon Mobil Corp., Motorola Inc., and Southern Company, plus the alleged fraudulent withdrawal of funds from Claimant's accounts.
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