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.
