Brian J. Neville's Legal Cases (6)

Securities and investment fraud

Frank H. Suits, Jr. et al. vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Michael Keefe Gorman

May 21, 2008

OUTCOME: client received $128,000

Claimant awarded $128,000 and costs against Merrill Lynch and the registered representative after Lax & Neville successfully arbitrated causes of action incuding unsuitable investment recommendations, ... violations of Self-Regulatory Organization Rules, breach of fiduciary duty, violation of the Securities Exchange act and failure to supervise regarding the sale of proprietary products by Respondent in Claimant's fee based account.

Commercial real estate

Westminster Securities Corp. and John O'Shea vs. HQ Sustainable Maritime Industries, Inc.

Jan 02, 2008

OUTCOME: Our client won $528,234.00

Respondent, a Chinese export company, was ordered to pay $528,234.00 to Westminster Securities Corp., an investment bank represented by Lax & Neville, pursuant to an operative placement agent agreement ... , as well as reprice HQ Sustainable Maritime Industry warrants owed to John O'Shea.

Arbitration

Mitchell Slater v. Merrill Lynch, Pierce, Fenner & Smith. Inc. and Thomas Fickinger

Dec 01, 2006

OUTCOME: Our cleint won expungement

Arbitration Panel ordered all references to the customer complaint at issue expunged from Claimant's Form U-5. Claimant was represented by Brian J. Neville. NASD # 05-04072

Securities and investment fraud

Lucille Banahan v. Wachovia Securities, Inc.

Dec 28, 2005

OUTCOME: our client won $135,000

Claimant, represented by Brian J. Neville in Florida, was awarded $135,000.00 for Wachovia Securities's unsuitable recommendations, breach of duty of care, fraud and negligent misrepresentation, violat ... ion of federal securities laws and industry rules, failure to supervise and respondeat superior regarding Claimant's investments in annuities, mutual funds and individual stocks.

Securities and investment fraud

Albert T. Jenks and Irena L. Jenks v. Securities of America, Inc. et. al.

Jan 04, 2005

OUTCOME: Our client won $150,294

Claimants received $150,294 from Securities of America, Inc., and others, based upon its violation of various federal securities laws including 15 U.S.C. §78(j)(b) and Rule 10b-5 and violations of NASD ... Rules of Fair Practice and NYSE Rules. Claimants were represented by Brian J. Neville.

Securities and investment fraud

Kenneth Irving v. Salomon Smith Barney, Michael Lent and William Lent

Jun 10, 2004

OUTCOME: Our client won $325,000

Claimant, represented by Brian J. Neville, was awarded $325,000.00 based upon Respondents' unsuitable recommendations, fraud, misrepresentations, and various violations of federal securities laws.

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