• Representing a corporate pension plan in federal court in Pennsylvania arising out of a financial advisors’ unlawful removal of $5.7 million from that pension plan;
  • Representing two familiesin arbitration  who lost hundreds of thousands of dollars in non-traded real estate investment trusts and other alternative investments;
  • Representing a family in state court as a result of their loss of more than $ 2 million as a result of an ill-advised series of premium-financed life insurance contracts;
  • Representing a group of financial advisors who lost millions of dollars as a result of the misconduct of their former employers;
  • Representing in state court an investor in a closely-held corporation who lost more than $1 million as a result of fraudulent misrepresentations;
  • Represented the Sarasota County Clerk of Court as comptroller of Sarasota County in a federal court case against a bank which was alleged to have mismanaged the county’s securities lending portfolio.  That case was settled for $23.75 million.;
  • Represented a Louisiana family whose retirement nest egg was lost in a fraudulent hedge fund in Baton Rouge. A New Orleans arbitration panel awarded 100% of the losses, representing more than $900,000 (including interest) in January 2011. That case was successfully litigated through an appeal before a state appeals court in Louisiana.
  • Obtained an arbitration award of $1.4 million in 2004 on behalf of a retired couple against a New York Stock Exchange member firm that mismanaged their conservative retirement portfolio by making unsuitable recommendations.
  • Obtained an arbitration award of $1.3 million (including punitive damages and attorney fees) in 2006 on behalf of a retired couple against a major regional brokerage firm whose broker put their money into a fraudulent investment program.
  • Obtained an arbitration award of $350,000 in 2010 on behalf of a financial advisor who was improperly terminated by his brokerage firm, which also made defamatory remarks about him in securities registration records. The panel also ordered that the broker’s record be expunged of any such false and fraudulent remarks.
  • Successfully defended three principals in a state court lawsuit against claims that they caused damages to other shareholders following their acquisition of certain business units that were subsequently re-sold to another company for more than $14 million.
  • Represented hundreds of claimants in arbitration cases in which unsuitable investment recommendations were made, fraudulent limited partnerships, hedge funds, and structured products were sold, options were traded, excessive trading occurred, excessive margin was used, and/or investment accounts had improper asset allocation.