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Arbitration Awards

FINRA Punitive Damage Award

Press Release dated Jan. 2011 regarding significant FINRA punitive damage award obtained on behalf of retired investor

FINRA Arbitration Award-Willard J. Friedman

The FINRA arbitration award in the matter of Willard J. Friedman on behalf of Willard J. Friedman, IRA and the Willard J. Friedman, SEP IRA v. Brewer Financial Services, LLP, FINRA Case No. 10-01639, a case where my client was awarded nearly $200,000 and that highlights the ongoing abuse in South Florida and around the country of elderly and retired stock market investors with little or no prior investment experience who place their life savings with stock brokers and financial advisors who disregard a client’s investment objectives and goals and the brokerage firms that fail to supervise their brokers and advisors.

Mary Holland v. Merrill Lynch, Pierce, Fenner & Smith, Inc.

The case of Mary Holland v. Merrill Lynch, Pierce, Fenner & Smith, Inc., NASD Case 04-05622, where my elderly, widowed client was awarded full damages of $25,000 and attorney fees of $10,000 for stock market losses in investments that were unsuitable given her age, needs and investment objectives.

Press Release dated Nov. 2010

Press Release dated Nov. 2010 regarding investigation into potential claims involving investments in Jade Asset Group LLC, Jade Asset Management, Managed Capital, LLC and Capital Requirements

Results are not guaranteed. The facts and circumstances of your case may differ and therefore your results may be different too.

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