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.