FOR INVESTORS

• Seniors victimized by fraud and high pressure sales tactics;
• Retirees losing their retirement nest egg due to negligent planning and risky asset allocation, such as overconcentration in stocks;
• High net worth investors placed in unsuitable products or alternative investments, such as hedge funds or private placements;
• Institutional investors victimized by conflicts of interest, such as being charged excessive commissions; and,
• Investors with more challenging and complex claims to prosecute, such as imprudent    “72(t)” retirement income planning, or failure to manage risk associated with a concentrated stock position resulting from the exercise of employee incentive stock options (ISOs). 

• Recovered $2.7M for an investor in securities arbitration;
• Recovered over $1M for an investor in securities mediation;
• Recovered substantial damages for an investor against a trust company due to the trust company's failure to prudently invest, monitor and rebalance the investor's account;
• Obtained one of the first securities arbitration awards against an online brokerage firm for mishandling a customer order and the other sales practice violations;
• Recovered substantial damages, including attorneys' fees, in a breach of fiduciary case against a major U.S. brokerage firm under ERISA; and
• Recovered substantial damages for a corporate executive and his wife arising from their adviser's failure to manage risk associated with a concentrated stock position resulting from the exercise of employee incentive stock options (ISOs).