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.

  • $673,536.00

    Against Roger Y. Fan, Wayne Jon Miller, John Chun Hu, and Chunpong Lau

  • $369,938.01

    Against Hitomi Tsuyuki

  • $296,996.79

    Against American Income Securities, Inc. and Frank Hickcox, II

  • $276.298.00

    Against 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

  • $256,165.00

    Against Merrill Lynch, Pierce, Fenner & Smith Incorporated and James A. Perry

  • $187,500.00

    Against W.J. Gallagher & Company, Inc., William J. Gallagher, Jr. and Lewis Akmakjian

  • $175,825.00

    Against Respondent J.P. Morgan Securities, Inc.

  • $155,000.00

    Against L. T. Lawrence & Co., Inc., Michael Ferguson, Lawrence Principato, and Todd Roberti

  • $135,000.00

    Against R.W. Towt & Associates and Richard Warren Towt

  • $125,000.00

    Against Wells Fargo

  • $114,591.00

    Against Merrill Lynch, Pierce, Fenner & Smith Incorporated and Darryl Matthew Cohen

  • $105,000.00

    Against Morgan Stanley & Co. Inc., Morgan Stanley Smith Barney, and Bruce Edward Hallenbeck

  • $100,000.00

    Against Mark L. Moskowitz

  • $90,790.00

    Against Bear Stearns & Company And Peter Zyhailo

  • $84,000.00

    Against A.G. Edwards & Sons, Inc. and Anthony Russo

  • $68,689.12

    Against Respondents Klein, Maus and Shire, Inc., David Heredia, and Mohammed Ali Khan

  • $65,200.00

    Against Curtiss Brian Parker

  • $59,299.68

    Against Ash & Co., Inc., Todd C. Peterson, Ashley Nemiroff, and John J. McAndris

  • $55,000

    Against W.J. Gallagher and Harry Gliksman

  • $50,000.00

    Against David Heredia

  • $47,163.30

    Against Morgan Stanley Dean Witter Inc. and Heather Downs

  • $44,356.32

    Against Cartwright & Walker Securities Corporation and E. Scoville Walker

  • $40,000.00

    Against Times Securities, Inc. and Stephanie Pey Chooi

  • $37,000.00

    Against Linsco/Private Ledger Corp. and Regina Bolvin

  • $34,270.00

    Against WM Financial Services, Inc. and Lisa Ann Lighthipe-Hinz

  • $30,000.00

    Against Todd C. Peterson

  • $23,842.00

    Against Pacific Coast Financial Securities, Inc. and Don Morandini

  • $21,017.59

    Against Bradley Marcus and Stuart Coleman Co., Inc.

  • $21,008.00

    Against Ameritrade

  • $20,560.00

    Against Vincent Barone

  • $18,678.00

    Against Douglas Glen Frederick and Stephanie Pey Chooi

  • $17,000.00

    Against Lew Lieberbaum & Co., Inc. and Joseph Duarte

  • $16,000.00

    Against Cruttenden Roth Incorporated and Everett R. Ellerman

  • $7,500.00

    Against Respondent Merrill Lynch, Pierce, Fenner and Smith, Inc.

  • $3,000.00

    Against Ernest B. Arnold