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Recent Results
  • FINRA Arbitration Award of $5.2 Million

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

  • S.E.C. Whistleblower Award of $1.875 Million

    Representation of client in Securities and Exchange Commission Whistleblower matter resulting in Award.

  • Confidential Settlement of $1.75 Million

    Representation of investor in District Court matter resulting in confidential settlement of 100% of out-of-pocket losses.

  • FINRA Arbitration Award of $2.5 Million

    Representation of investors in FINRA arbitration concerning securities fraud.

  • AAA Arbitration Award of $6.1 Million

    Representation of former employee of an electric vehicle (“EV”) start-up in dispute concerning equity in the company, resulting in Arbitration Award in our client’s favor.

  • AAA Arbitration – Successful Defense

    Representation of San Francisco Bay Area broker-dealer in FINRA Arbitration against two broker-dealers, wherein our firm uncovered a massive Ponzi Scheme resulting in criminal prosecution of perpetrators, and resulting in successful defense of our client.

  • Successful Defense

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

  • AAA Arbitration Award of $1.5 Million

    Representation of gold bullion investor, resulting in Arbitration Award for 100% of out-of-pocket losses.

  • Confidential Settlements of $5.15 Million, $3.5 Million and $2.575 Million

    Representation of clients in claims related to release of frozen funds.

The foregoing is for informational purposes only. The illustrative results are representative only and should not be viewed as an assurance of a particular result. All amounts above are approximate.