Recent Results
01
AAA Arbitration Award of $6.1 Million
Representation of former employee of electric vehicle (“EV”) start-up Fisker, Inc., who was represented by a major international law firm, in dispute concerning equity in the company, resulting in Arbitration Award in our client’s favor.
02
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.
03
FINRA Arbitration Award of $5.2 Million
Representation of elderly San Francisco Bay Area investors in FINRA Arbitration against broker-dealer.
04
Confidential Settlements of $5.15 Million, $3.5 Million and $2.575 Million
Representation of clients in claims related to release of frozen funds.
05
FINRA Arbitration Award of $2.5 Million
Representation of investors in FINRA arbitration concerning securities fraud.
06
S.E.C. Whistleblower Award of $1.875 Million
Representation of client in Securities and Exchange Commission Whistleblower matter resulting in Award.
07
Confidential Settlement of $1.75 Million
Representation of investor in District Court matter resulting in confidential settlement of 100% of out-of-pocket losses.
08
AAA Arbitration Award of $1.5 Million
Representation of gold bullion investor, resulting in Arbitration Award for 100% of out-of-pocket losses.
09
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.