We represent individual and institutional investors who have been harmed by fraud, negligence, or breaches of fiduciary duty involving investments in public and private companies and mutual funds. For example, we represented an individual investor in arbitration against his broker and the broker dealer for losses sustained as the result of the illegal sale of promissory notes and preferred stock, resulting in an award of over $800,000. We also pursued claims against the parent company of the broker dealer under a control-person liability theory. This matter was tried before a jury and resulted in a final judgment of over $850,000.
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