Our Recent Results (2020 – 2024)

These are case-specific results and are not a guarantee or promise of a certain result in any other case.

Confidential Settlement.
$1,098,000 Stocks, Bonds, Options, and Mutual Funds
Key Allegations

Churning, Negligence, Breach of Fiduciary Duty, Suitability, & Fraud
Confidential Settlement.
$950,000.00 Preferred Stock Issued by a Distressed Financial Institution
Key Allegations

Negligence, Breach of Fiduciary Duty, Violation of Regulation Best Interest, and Fraud
Confidential Settlement.
$900,000.00 Off-Shore Investments
Key Allegations

Negligence, Breach of Fiduciary Duty, Suitability, and Fraud
Confidential Settlement.
$650,000.00 Unsuitable Concentration of Energy Company’s Equity Units in Investment Portfolios
Key Allegations

Negligence, Breach of Fiduciary Duty, Suitability, and Fraud
Confidential Settlement.
$454,000.00 Unsuitable Concentration of Inverse ETFs in Investment Portfolio
Key Allegations

Negligence, Breach of Fiduciary Duty, Suitability, and Fraud
Confidential Settlement.
$444,000.00 Real Estate Private Placements (Delaware Statutory Trusts and Limited Partnerships)
Key Allegations

Negligence, Breach of Fiduciary Duty, Suitability, and Fraud
Confidential Settlement.
$425,000.00 Adviser-Directed Trading Program Using an Inverse Exchange Traded Fund
Key Allegations

Negligence, Breach of Fiduciary Duty, Suitability, and Fraud
Confidential Settlement.
$363,000.00 Viaticals, Unregistered Securities, Private Placements, Equity Indexed Annuities, and Broker Theft
Key Allegations

Negligence, Breach of Fiduciary Duty, Suitability, Fraud, and Conversion
Confidential Settlement.
$350,000.00 Unsuitable Investment Portfolio
Key Allegations

Negligence, Breach of Fiduciary Duty, Suitability, and Fraud

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