We are strongly positioned to recover investor losses and are familiar with investment products and strategies and securities industry standards and operations. (For example, read James Eccleston's article, A Duty Not Satisfied - When Risk Tolerance Is Neither Asked Nor Answered.)
SIGNIFICANT VICTORIES INCLUDE:
- 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 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).
These outcomes are not meant to provide an unjustified expectation about results our lawyers can achieve on your behalf. Please contact us to discuss your legal matter.
This Website may be considered advertising under the rules of some states. To the extent that any information contained within this Website constitutes a "testimonial" under professional rules of conduct, the testimonial does not constitute a guarantee, warranty, or prediction regarding the outcome of any legal matter. Prior results described on this site cannot and do not guarantee or predict a similar outcome with respect to any future matter that we or any lawyer may be retained to handle. This Website is not intended as, and does not represent, legal advice. No one should act or rely on any information in this site without first seeking professional legal counsel.