Verdicts and Settlements

Award of¬†Compensatory Damages and Attorneys’ Fees

Client receives award of compensatory damages and attorneys’ fees against Wells Fargo

Award of Compensatory Damages Against Broker and Broker Dealer

Client sued broker and broker dealer for breach of fiduciary duty, fraud and negligence. Client was awarded full compensatory damages.

Final Order and Judgment Approving Class Action

US District Court Southern District of Florida approves settlement of class action against Newbridge Securities Corporation.

Award of Compensatory Damages and Sanctions

Award of compensatory damages and broker sanctioned for discovery abuses.

Award Against Morgan Stanley in Variable Annuity Case

Award of compensatory damages granted in a case involving unsuitable annuity exchanges

Award of Punitive Damages Against Stockbroker for Pump and Dump Scheme

Panel finds that investments were clearly unsuitable and too risky for an elderly, inexperienced investor.

Award of Compensatory Damages and Pre-Judgment Interest

UBS Financial Services, Inc. found liable for respondeat superior violations

Rescission, Punitive Damages, Interest and Attorneys’ Fees Award

Award against Investment Banker, Principal of Brokerage Firm, Branch Managers, Broker, Brokerage Firm and Successor Firm for rescission, punitive damages, attorneys fees interest and sanctions.

Million Dollar Plus Award

Elderly couple sued Prudential and was awarded over $1 million dollars.

Punitive Damages Awards

Client sued broker and Merrill Lynch for breach of contract, fraud and negligence. Client was awarded compensatory damages and punitive damages.

Client sued Citigroup (Salomon Smith Barney) for fraud and was awarded compensatory damages, punitive damages, interest and attorney’s fees.

Unsuitable Recommendations

Retired couple alleged that their financial advisor made unsuitable recommendations and Edward Jones was held liable.

Material Misrepresentations

Financial advisor sued his former employer, Merrill Lynch, for failing to disclose conflicts of interest and Merrill Lynch was held liable.

Material Omissions

Client sued Merrill Lynch for fraud and Merrill Lynch was held liable for compensatory damages and attorney’s fees.

Churning/Excessive Commissions

Elderly client awarded damages for her losses she suffered from Commodities firm and brokers.

Punitive Damages Award

Award of compensatory and punitive damages entered against firm and advisor for joint and several liability.

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