Seattle, WA
Employment and labor Lawyer at Seattle, WA
Practice Areas: Employment & Labor, Securities & Investment Fraud, Licensing
OUTCOME: Recovered some damages for individual investor against broker-dealer.
In the Matter of the Arbitration Between Name of Claimant, John P. Cogan and Jemma J. Cogan JTWROS, Name of Respondent, U.S. Bancorp Investments, Inc., 2011 FINRA Arb. LEXIS 160, Case Number: 09-06806
OUTCOME: Defended registered representative on promissory note claim brought by former employer. Employer received a partial recovery.
In the Matter of the Arbitration Between: Claimant, Morgan Stanley & Co., Incorporated, Respondent, Cheri L. Johnson, 2010 FINRA Arb. LEXIS 1217, Case Number: 09-00548
OUTCOME: Nonsuit, followed by attorney fee award.
Defended employee in ex-employer's lawsuit for breach of noncompetition covenant. Secured award of $48,504.50 in attorney fees for client following ex-employer's nonsuit.
OUTCOME: Won appeal reversing court's summary judgment.
Persuaded court of appeals that AIA contract established an express trust over funds paid by an owner to a general contractor. Therefore, bank that used funds to offset the contractor's loan could be ... established.
OUTCOME: Recovered damages for investment losses.
Represented investors in recovery of compensatory damages ($77,112.00), attorney fees ($38,384.50), and costs ($11,252.11).
OUTCOME: Recovered damages for investment losses. FINRA Case No. 04-01273.
Represented investors in recovery of compensatory damages ($1,835,343.30)
OUTCOME: Represented individual investor; arbitration award entered for opposing party (a broker-dealer).
In the Matter of the Arbitration Between Gwyn E. Staton, Claimant v. Banc of America Investment Services, Inc., Respondent, 2004 NASD Arb. LEXIS 3112, CASE NO. 03-02911
OUTCOME: Won appeal confirming order compelling arbitration
Secured enforcement of arbitration agreement signed by trustee against beneficiary of trust (who did not sign the agreement) in lawsuit against a broker dealer.
OUTCOME: Recovered damages for investment losses. FINRA Case No. 00-05231
Represented investors in recovery of compensatory damages ($1,541,857.00), sanctions ($7,391.00), and costs ($11,932.89).
OUTCOME:
Represented departed employees who had been sued for breach of restrictive covenants. The arbitration panel extended a temporary restraining order for 120 days, denied the claimant’s damage claims, ... and required each party to pay its own attorney fees.
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