The Law Offices of Jonathan W. Evans & Associates The Law Offices of Jonathan W. Evans & Associates
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Recoveries Obtained

Recoveries Obtained

Here is a partial list of the FINRA Arbitration Awards we've won for our clients. We are unable to disclose information about the hundreds of cases we've settled prior to hearing due to the fact each settlement is subject to a confidentiality agreement.

Broker/ Firm Award Case Number Date
R.W. Towt & Associates and Richard Warren Towt $135,000 11-01582 08/6/12
Morgan Stanley & Co. Inc., Morgan Stanley Smith Barney, and Bruce Edward Hallenbeck $105,000.00 09-03872 02/15/11
Wells Fargo $125,000.00 09-00339 12/20/10
Douglas Glen Frederick and Stephanie Pey Chooi $18,678.00 08-00949 10/28/09
Hitomi Tsuyuki $369,938.01 06-04950 03/20/08
A.G. Edwards & Sons, Inc. and Anthony Russo $84,000.00 05-05647 12/10/07
Respondent J.P. Morgan Securities, Inc. $175,825.00 06-01019 06/14/07
Times Securities, Inc. and Stephanie Pey Chooi $40,000.00 05-04302 10/19/06
Merrill Lynch, Pierce, Fenner & Smith Incorporated and Darryl Matthew Cohen $114,591.00 01-05581 05/04/05
Linsco/Private Ledger Corp. and Regina Bolvin $37,000.00 03-00265 05/24/04
Merrill Lynch, Pierce, Fenner & Smith Incorporated and James A. Perry $256,165.00 02-02159 04/20/04
WM Financial Services, Inc. and Lisa Ann Lighthipe-Hinz $34,270.00 02-06386 02/17/04
Mark L. Moskowitz $100,000.00 01-01846 08/15/03
Morgan Stanley Dean Witter Inc. and Heather Downs $47,163.30 02-00190 04/28/03
Roger Y. Fan, Wayne Jon Miller, John Chun Hu, and Chunpong Lau $673,536.00 00-02492 11/13/01
American Income Securities, Inc. and Frank Hickcox, II $296,996.79 00-04037 10/29/01
Respondent Merrill Lynch, Pierce, Fenner and Smith, Inc. $7,500.00 00-05059 06/25/01
Ernest B. Arnold $3,000.00 99-02935 01/29/01
W.J. Gallagher & Company, Inc., William J. Gallagher, Jr. and Lewis Akmakjian $187,500.00 99-02935 01/29/01
Cruttenden Roth Incorporated and Everett R. Ellerman $16,000.00 99-03561 12/08/00
The Golden, Lender Financial Group, Inc. n/k/a J.P. Gibbons & Co., Inc., Roman Sakharovich, Foster J. Gibbons, Alexander Bienenstock, Kenneth R. Lauher, Tomer M. Yuzary, Earl J. Swan, III, Richard O. Freedman, Aron O. Bronstein, and Andrew Reegan $276,298.00 99-04363 11/06/00, Award Amended 12/21/00
Vincent Barone $20,560.00 98-01103 05/01/00
L. T. Lawrence & Co., Inc., Michael Ferguson, Lawrence Principato, and Todd Roberti $155,000.00 97-00384 02/07/00
Todd C. Peterson $30,000.00 98-01591 10/19/99
Ash & Co., Inc., Todd C. Peterson, Ashley Nemiroff, and John J. McAndris $59,299.68 98-01591 10/19/99
Curtiss Brian Parker $65,200.00 98-01279 06/09/99
Ameritrade $21,008.00 98-01714 06/01/99
David Heredia $50,000.00 98-00278 03/03/99
Respondents Klein, Maus and Shire, Inc., David Heredia, and Mohammed Ali Khan $68,689.12 98-00278 03/03/99
Bradley Marcus and Stuart Coleman Co., Inc. $21,017.59 97-02534 11/19/98
Cartwright & Walker Securities Corporation and E. Scoville Walker $44,356.32 95-05164 02/04/98
Pacific Coast Financial Securities, Inc. and Don Morandini $23,842.00 96-04152 01/06/98
Lew Lieberbaum & Co., Inc. and Joseph Duarte $17,000.00 96-03335 05/15/97
W.J. Gallagher and Harry Gliksman $55,000.00 96-02113 04/25/97
Bear Stearns & Company And Peter Zyhailo

$90,790.00

 95-00022 11/20/95

*These results are not guarantees and each case is resolved based on its specific facts.

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