financial fraud

Results

The law firm of Baldwin Mader Law Group has provided the materials on this website for informational purposes only. Each case and set of facts is unique. The illustrative cases and results above are representative only and should not be viewed as an assurance of a particular result. Each case must stand on its own facts and circumstances. Recovery cannot be guaranteed. All amounts above are approximate.

FINRA Arbitration Award of $5.2 Million

Representation of elderly San Francisco Bay Area investors/Claimants in Arbitration against FINRA broker-dealer.

Confidential Settlement of $5.15 Million

Release of funds frozen in auction rate securities.

Confidential Settlement of $3.5 Million

Release of funds frozen in auction rate securities.

Confidential Settlement of $2.575 Million

Release of funds frozen in auction rate securities.

Confidential Settlement- $900,000.00

Representation of Claimant Registered Investment Advisor in Arbitration against hedge fund.

FINRA Arbitration Award- $700,000.00

Representation of Silicon Valley investors in Arbitration against broker-dealer related to a Ponzi Scheme, resulting in award of 100% of out-of-pocket losses and attorney fees.

Confidential Settlement- $650,000.00

Representation of elderly San Francisco Bay Area investor/Claimant in FINRA Arbitration against hedge fund, resulting in confidential settlement of 110% of out-of-pocket losses.

Confidential Settlement- $600,000.00

Representation of several high-profile professional athletes in FINRA Arbitration relating to a fraudulent telecommunications investment, resulting in settlement of 150% of out-of-pocket losses.

Confidential Settlement- $580,000.00

Representation of investors/Claimants at FINRA Arbitration against San Francisco Bay Area career securities fraud perpetrator.

Confidential Settlement- $500,000.00

Representation of investor/Claimant in San Diego County Superior Court action resulting in settlement of 100% of out-of-pocket losses, and in criminal prosecution of perpetrator of Ponzi Scheme.

Confidential Settlement- $395,000.00

Representation of investor/Claimant, a professional golfer, in FINRA Arbitration resulting in settlement of 400% of out-of-pocket losses.

Confidential Settlement- $395,000.00

Representation of female registered representative in an Arbitration concerning sexual harassment by owner of broker-dealer.

Confidential Settlement- $300,000.00

Release funds frozen in auction rate securities.

Confidential Settlement- $200,000.00

Release of funds frozen in auction rate securities.

Recovery Settlement of 87% of out-of-pocket losses

Representation of 42 Arizona investors/Claimants who were victims of Ponzi scheme. Confidential settlement after first week of FINRA Arbitration Hearing.

Successful Defense

Representation of San Francisco Bay Area telecommunications firm in “bet the company” litigation in Los Angeles County Superior Court, resulting in successful resolution and settlement.

Successful Defense

Representation of alleged control persons of broker-dealer in FINRA Arbitration lasting 4 years and 32 hearing sessions, resulting in complete defense of claims against owner/board member and chief compliance officer of broker-dealer.

Successful Defense

Representation of San Francisco Bay Area broker-dealer in litigation against two mid-west FINRA broker-dealers, wherein Baldwin Mader Law Group uncovered a massive Ponzi Scheme resulting in criminal prosecution of perpetrators.

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