$2.8 Million FINRA Arbitration Award. Michael Shain, David Petterson, Robert R Reichle, et al. vs. First Standard Financial Company LLC, et al. FINRA CASE ID 19-03839
Represented a group of investors in a suitability claim related to the systemic churning of accounts.
$500,000 FINRA Arbitration Award. Robert Crane vs. Wynston Hill Capital, LLC, Christopher Joseph Nelson, Joseph Morris Thurnherr, et al. FINRA CASE ID 19-02155
Represented a farmer and his wife in Iowa in a churning case whereby the broker charged over 90% of the accounts value in commission in four months.
$60,000 FINRA Arbitration Award. Pamela A Frost IRA vs. Laidlaw & Company and Kevin R. Wilson. FINRA CASE ID 19-01199
Represented a retired former Lowe’s Home Improvement employee in an unauthorized transactions case whereby the broker purchased and sold a private placement security without her permission.
FINRA CASE ID 20-02420 TIM DAVID HAKES VS. THE O.N. EQUITY SALES COMPANY
Description/Success Story/Testimonial: Successfully obtained expungement of all three customer complaints on a registered securities representative’s BrokerCheck CRD report.
FINRA CASE ID 20-02391 Alan Walton Sharpe vs. Prudential Equity Group, LLC
Description/Success Story/Testimonial: Successfully obtained expungement of two customer complaints on a registered securities representative’s BrokerCheck CRD report. The complaints dated back to over 10 years.
FINRA CASE ID 20-01292 Andrew Ryan Goldberg vs. Metlife Securities, Inc. & 652635/2021 ANDREW Ryan GOLDBERG v. FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. (FINRA)
Description/Success Story/Testimonial: Successfully obtained expungement of all three customer complaints on a registered securities representative’s BrokerCheck CRD report and also obtained Judicial Confirmation of the Award in New York State Court.
FINRA CASE ID 20-01667 Primo Bushati vs. Bankers Life Securities, Inc.
Description/Success Story/Testimonial: Successfully obtained expungement of all two remaining customer complaints on a registered securities representative’s BrokerCheck CRD report.
(Undisclosed) 17-19-1135-5630 2020
Description/Success Story/Testimonial: Obtained several full 100% denied no-fault benefits for a health care provider where we successfully established entitlement to no-fault compensation for medical services including office visits, range of motion (Rom) testing, and manual muscle testing (MMT).
(Undisclosed) N/A 2019
Description/Success Story/Testimonial: (Citation omitted as per settlement agreement) secured a $1.2 Million Settlement on behalf of multiple investors that were victimized by the same stock broker who churned their accounts to generate excessive commissions.
(Undisclosed) N/A 2019
Description/Success Story/Testimonial: (Citation omitted as per settlement agreement) secured a $105,000 settlement against a national brokerage firm In a dispute involving the purchase of unsuitable investments and portfolio overconcentration.
(Undisclosed) N/A 2020
Description/Success Story/Testimonial: (Citation omitted as per settlement agreement) secured a $75,0000 settlement for an elderly couple who invested in a fraudulent private placement designed to personally benefit the brokerage firm.
(Undisclosed)
Description/Success Story/Testimonial: Reviewed, filed, and processed over 5,000 denied no-fault claims. Organized the entire collections process for the office which included: computer file system organization, delegation of responsibilities, and training of medical staff in completing suitable submissions of medical bills to the insurance providers.
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