Recent Results in FINRA Arbitration Cases

Trusted California Investment Fraud Lawyers

Baldwin Mader Law Group has recovered millions of dollars from hundreds of different types of cases over the years. Our team is dedicated to uncovering investment fraud and doing everything it takes to win your case. Learn more about FINRA Arbitration by visiting our FINRA Facts and Questions page.

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Recent Results

• Confidential Settlement of approximately $1.75M: Representation of investor resulting in confidential settlement of 100% of out-of-pocket losses in December 2021.
• Whistleblower Award of $1,875,000: Represented client in Securities and Exchange Commission Whistleblower Action resulting in Award in September 2021.
• ​American Arbitration Association Award of $1.5 MILLION: Represented victim of a gold bullion scam resulting in Award for 100% of damages requested in March 2020.
• FINRA Arbitration Award of $5.2 Million: Representation of elderly San Francisco Bay Area investors/Claimants in Arbitration against FINRA broker-dealer.
• FINRA Arbitration Award of $2.5 Million: Representation of investor Claimant in Arbitration against securities fraud perpetrators.
• Confidential Settlements in three separate matters in the amounts of $5.15 Million, $3.5 Million and $2.575 Million: Release of funds frozen in auction rate securities.
• Confidential Settlement of $900,000: Representation of Claimant Registered Investment Advisor in Arbitration against hedge fund.
• 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.
• 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.
• FINRA Arbitration Award of $700,000: 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.
• 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.
• Confidential Settlement of $650,000: 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 of $600,000: 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 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.
• Confidential Settlement of $580,000: Representation of investors/Claimants at FINRA Arbitration against San Francisco Bay Area career securities fraud perpetrator.
• Confidential Settlement of $500,000: 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 of $395,000: Representation of investor/Claimant, a professional golfer, in FINRA Arbitration resulting in settlement of 400% of out-of-pocket losses.
• Confidential Settlement of $395,000: Representation of female registered representative in an Arbitration concerning sexual harassment by owner of broker-dealer.

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.