Gatof v. A.G Edwards & Sons
Aug 12, 2003OUTCOME: Award of $422,000 including punitive damages
FINRA CASE NO. 02-05147 2003 NASD Arb. LEXIS 1391 August 12, 2003 Mutual fund unsuitability, fraud and negligence.
Richard A Stephens's Legal Cases (16)
Los Angeles, CA
Securities and investment fraud Lawyer at Los Angeles, CA
Practice Areas: Securities & Investment Fraud, Arbitration, Financial Markets and Services
Friedman v. Morgan Stanley
Jul 22, 2003OUTCOME: Award of $166,000
FINRA Case No. 02-03722 2003 NASD Arb. LEXIS 1212
Fabian v. Donaldson, Lufkin & Jenrette Securities
May 27, 2003OUTCOME: Award of $960,000 plus attorneys' fees.
FINRA CASE NO. 01-06204 2003 NASD Arb. LEXIS 976 May 27, 2003 Breach of fiduciary duty by investment manager.
Clark v. Cadaret Grant & Co.
Apr 25, 2003OUTCOME: Award of $464,000 plus attorneys' fees.
FINRA CASE NO. 02-02151 2003 NASD Arb. LEXIS 651 April 25, 2003 Breach of fiduciary duty and negligent supervision by investment managers
Bancone v. Gruntal & Co.
Aug 02, 2000OUTCOME: Award of $305,000
FINRA Case No. 99-02904 2000 NASD Arb. LEXIS 1168 Unauthorized and unsuitable investments
Goldfarb v. Gruntal & Co.
May 26, 2000OUTCOME: Award of $400,000
FINRA Case No. 99-01176 2000 NASD Arb. LEXIS 735 Unauthorized Trading and Unsuitability
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