FINRA Arbitration

Nov 01, 2017

OUTCOME: Favorable settlement

Represented senior investor victimized by online fraudster. Damages were sustained in part as a result of brokerage firm's negligence.

Non-public FINRA Enforcement Proceeding

Sep 25, 2017

OUTCOME: Formal investigation resolved without any sanction to my client

Confidential Engagement for CRD Expungement

Mar 28, 2013

OUTCOME: Expungement was granted.

Advised a California financial advisor in connection with a FINRA proceeding to have a customer complaint expunged from the central licensing and registration system for the U.S. securities industry a ... nd its regulators.

Pasquale & Diane Croce v. UBS Financial Services, Inc.

Jun 09, 2011

OUTCOME: Award in favor of claimant, including interest

$2-million FINRA arbitration concerning the sale of a "100% Principal Protection Note" issued by Lehman Brothers to a conservative investor just weeks prior to bankruptcy

Patricia Flanagan v. UBS Financial Services, Inc.

Nov 20, 2009

OUTCOME: Award in favor of investor, including attorney's fees and interest

FINRA arbitration on behalf of South Carolina investor sold structured notes by her financial advisor without appropriate risk disclosure.

Non-Public FINRA Enforcement Proceeding

Nov 15, 2006

OUTCOME: Proceeding closed without sanction to my client

Represented financial advisor who was the subject of a FINRA investigation and enforcement proceeding, including advising him in connection with his on-the-record testimony.