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Case Results - Part 2

Florida State Court Settlement $407,500

This $407,500 million settlement was in a state court action filed by Mr. Pearce against a Canadian brokerage that was offering and selling securities in Florida without being licensed. It involved proceedings in Canada and Florida and Appellate courts. It ultimately led to the legislature enacting an exemption for Canadian brokerages but not until Mr. Pearce client was paid for what was evidently a violation of the Florida securities statutes at the time.

FINRA Arbitration Settlement $400,000

This FINRA arbitration was settled with an individual investor for $400,000 by a major Wall Street firm in 2010 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Award $386,600
Case No. 90-00108
Weiss v. Profile Investments, Inc.

This arbitration involved Profile Investment stockbrokers who misrepresented and made unsuitable recommendations to an elderly gentlemen to invest in stocks and warrants in violation of the Florida securities and civil theft statutes. The total award of $386,000 included damages under 517.211, Fla. Stat., treble damages for violation of the civil theft statute 772.11, Fla. Stat. and attorney fees.

FINRA Arbitration Settlement $380,000

This FINRA Arbitration involved Puerto Rico investors who claimed their Puerto Rico broker-dealer over-concentrated and overleveraged their accounts in Puerto Rico municipal bonds and further made unsuitable recommendations to “hold” those positions when it knew market conditions were perilous. The case settled on the eve of the arbitration hearing in 2018.

FINRA Arbitration Settlement $360,000

This FINRA arbitration against a major broker-dealer in the United States and its off-shore subsidiary involved overconcentration of Puerto Rico municipal bonds and closed-end funds and unsuitable “hold” recommendations when the broker-dealer knew market conditions were perilous. The case settled in 2018 for $360,000 even though the broker-dealer claimed the clients’ accounts had thousands of dollars in profits.

FINRA Arbitration Settlement $350,000

This FINRA arbitration against a major broker-dealer in the United States and its off-shore subsidiary involved overconcentration of Puerto Rico municipal bonds and closed-end funds and unsuitable “hold” recommendations when the broker-dealer knew market conditions were perilous. The case settled in 2017 for $350,000 even though the broker-dealer claimed the clients’ accounts had over a hundred thousand dollars in profits.

FINRA Arbitration Settlement $347,500

This FINRA arbitration against a major broker-dealer in the United States and its off-shore subsidiary involved overconcentration of Puerto Rico municipal bonds and closed-end funds and unsuitable “hold” recommendations when the broker-dealer knew market conditions were perilous. The case settled in 2015 for $347,000.

FINRA Arbitration Settlement $341,601

This FINRA arbitration was settled with an individual investor for $341,601 by a major Wall Street firm in 2012 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $323,195

This FINRA arbitration was settled with an individual investor for $323,195 by a major Wall Street firm in 2012 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $320,000

This FINRA arbitration was settled with an individual investor for $320,000 by a major Wall Street firm in 2012 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $314,000

This FINRA arbitration was settled with an individual investor for $314,000 by a major Wall Street firm in 2012 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $312,500

This FINRA arbitration involved unsuitable investment recommendations and excessive trading otherwise known as churning of the investors account by the same broker at two different brokerage firms. One brokerage paid the investor $162,500 and the other paid $150,000 after a mediation that occurred in 2012 for a total settlement of $312,500.

Pre-FINRA Arbitration Settlement $312,000

This case arose out of a rogue broker’s misrepresentations, mismanagement, selling away and misappropriation of funds from multiple clients in the Midwest. It was settled by the group for $312,000 in 2015 prior to the filing of the arbitration claim.

Florida State Court Settlement $300,000

This Florida state court action involved the collection of, a promissory note which served as a guarantee of an investment. The dispute was settled after a Final Judgments was received and garnishment actions were instituted against 3rd parties related to the defendant.

FINRA Arbitration Settlement $300,000

This case was filed by a retired investor who deposited his savings with a major Florida bank to manage for a fee in a retirement program. Instead, the bank officer speculated in technology and other stocks which crashed during the stock market bubble in the 2000-2002 time period. In a bitterly fought state court action, the bank finally agreed in 2006 at mediation to pay the investor the $300,000 he lost due the mismanagement of the retirement account.

FINRA Arbitration Settlement $300,000

This FINRA arbitration was settled with an individual investor for $300,000 by a major Wall Street firm in 2012 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $300,000

This FINRA arbitration against a major broker-dealer in the United States and its off-shore subsidiary involved overconcentration of Puerto Rico municipal bonds and closed-end funds and unsuitable “hold” recommendations when the broker-dealer knew market conditions were perilous. The case settled in 2016 for $300,000.

FINRA Arbitration Settlement $300,000

This FINRA Arbitration involved Puerto Rico investors who claimed their Puerto Rico broker-dealer over-concentrated their accounts in Puerto Rico municipal bonds and further made an unsuitable recommendation to “hold” those positions when it knew market conditions were perilous. The case settled in 2019.

FINRA Arbitration Award $287,500
Case No. 91-01913
Leung v Wakefield Financial, Inc.

This arbitration involved Wakefield Financial stockbrokers who misrepresented and made unsuitable recommendations to investors in connection with an option trading program in violation of the Florida securities. The total award of $287,500 included damages under 517.211, Fla. Stat. and attorney fees.

FINRA Arbitration Settlement $286,000

This FINRA Arbitration involved a novice Puerto Rico investor who won the lottery. After she deposited her winnings with Puerto Rico broker-dealer, the financial advisor over-concentrated and overleveraged her accounts in Puerto Rico municipal bonds and further made unsuitable recommendations to “hold” those positions when it knew market conditions were perilous. Shortly thereafter, the account was forcibly liquidated to meet margin calls. The case settled on the eve of the arbitration hearing in 2015 at mediation.

FINRA Arbitration Settlement $283,500

This FINRA arbitration was settled with an individual investor for $283,500 by a major Wall Street firm in 2013 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Award $275,000
Case No. 03-03539
Michael A. and Joann Collegio v Morgan Stanley DW, Inc.

This investor suffered a broken neck and back and received the lawsuit settlement. She then proceeded to invest with Morgan Stanley. The investor had no experience investing in the stock market. The Morgan Stanley financial advisor recommended dividing the lawsuit proceeds into several counts managed by different portfolio managers to safeguard the principal, and generate income for the injured investor. Instead of doing what was promised, the assets were concentrated in aggressive growth stocks whose market capitalizations were collapsing and not generating any dividend income. To further compound the risk, the Morgan Stanley financial advisor recommended that this paralyzed man purchase a home with a mortgage pledged against the assets in his brokerage account. As the technology market collapsed, margin calls were issued and the securities in the brokerage account were liquidated to meet those calls. The arbitrators entered an award in 2004 for the $275,000 loss due to the unsuitable recommendations.

FINRA Arbitration Award $273,800
Case No. 03-04168
Nancy Stafford-Myers v Janney Montgomery Scott, LLC

This arbitration involved misrepresentations and unsuitable investments in connection with a JMS wrap fee account and private placement transaction in violation of the Florida securities statutes. The Arbitration Panel made a full award under the securities law statutes to this TV and movie star with expert witness fees in the amount of $273,800. In addition, the arbitrators awarded attorney fees the amount of which was settled confidentially and paid in full by Respondent JMS.

FINRA Arbitration Settlement $270,000

This FINRA arbitration against a major broker-dealer in the United States and its off-shore subsidiary involved overconcentration of Puerto Rico municipal bonds and closed-end funds and unsuitable “hold” recommendations when the broker-dealer knew market conditions were perilous. The case settled in 2015 for $270,000 even though the broker-dealer claimed the clients’ accounts had over a hundred thousand dollars in profits.

FINRA Arbitration Settlement $260,000

This FINRA arbitration was settled with an individual investor for $260,000 by a major Wall Street firm in 2010 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Award $257,000
Case No. 92-00340
Koppel v JW Charles, Inc.

This arbitration involved misrepresentations and unsuitable investments in connection with an option trading strategy in violation of the Florida securities statutes. The Arbitration Panel made a full award, including attorney fees, under the securities law statutes to this investor in the amount of $257,000.

FINRA Arbitration Settlement $251,099

This FINRA arbitration was settled with an individual investor for $251,099 by a major Wall Street firm in 2013 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

Pre-Suit Settlement $250,000

This case was settled during the course of a pre-suit mediation between a young widow and her deceased husband’s accountant of many years. The accountant was also a registered investment adviser. He recommended an unsuitable insurance-based retirement program and the improper asset allocation and mismanagement of a discretionary account and received $168,000 in undisclosed commissions. Our client received back the undisclosed commission and more in a settlement at the 2006 mediation.

FINRA Arbitration Settlement $240,000

This FINRA arbitration was settled with an individual investor for $240,000 by a major Wall Street firm in 2012 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $210,000

This FINRA arbitration against a major broker-dealer in the United States and its off-shore subsidiary involved overconcentration of Puerto Rico municipal bonds and closed-end funds and unsuitable “hold” recommendations when the broker-dealer knew market conditions were perilous. The case settled in 2019 for $210,000 even though the broker-dealer claimed the clients’ accounts had tens of thousands of dollars in profits.

Florida State Court Settlement $205,000

This is an action based upon Defendants’ false and misleading statements to Plaintiffs in connection with their investment in a private placement transaction. The Defendants misrepresented themselves as experts and specialists in all aspects of “interim” and “bridge” financing and “factoring” transactions to be undertaken by the investment fund. They not only misrepresented facts but expressed opinions about the “interim” and “bridge” loan and “factoring” program without any reasonable basis and upon which Plaintiffs justifiably relied due to the Defendants’ alleged expertise in violation of Section 517.301, Florida Statutes and common law for fraud, negligent misrepresentation, breach of fiduciary duty, breach of contract and conspiracy. Within six months, the Defendants settled for the full amount of the investment, $205,000.

FINRA Arbitration Settlement $200,000

This FINRA arbitration was settled with an individual investor for $200,000 by a major Wall Street firm in 2010 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $200,000

This FINRA Arbitration involved a Florida investor who was disabled and claimed her broker-dealer over-concentrated and overleveraged her account in Puerto Rico municipal bonds and further made unsuitable recommendations to “hold” those positions when it knew market conditions were perilous. The case settled on the eve of the arbitration hearing in 2018 for $200,000.

FINRA Arbitration Settlement $199,000

This FINRA arbitration was settled with an individual investor for $199,000 by a major Wall Street firm in 2012 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $192,031

This FINRA arbitration was filed by a family and settled with one of the family members for $192,031 by a major Wall Street firm in 2013 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $192,031

This FINRA arbitration was filed by a family and settled with another of the family members for $192,031 by a major Wall Street firm in 2013 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $192,031

This FINRA arbitration was filed by a family and settled with the third family member for $192,031 by a major Wall Street firm in 2013 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $190,000

This FINRA arbitration was settled with an individual investor for $190,000 by a major Wall Street firm in 2012 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Award $188,000
Case No. 99-03728
Sidney Nickin v. Ryan Beck and Co., Inc.

This FINRA arbitration involved unsuitable investment recommendations and churning of a client whose was in the early stages of Alzheimer’s disease. The Arbitration Panel awarded full compensatory damages of $135,000 and attorney fees to be determined by a court of competent jurisdiction. The Claimant proceeded to court and received an award of attorney fees (33%) in the amount of $45,000.

FINRA Arbitration Settlement $186,000

This FINRA arbitration was settled with an individual investor for $186,000 by a major Wall Street firm in 2012 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $185,000

This FINRA arbitration was filed by an 84 year old widow after she deposited her inheritance with a stockbroker in Central Florida proceeded to recommend a series of high commission Real Estate Investment Trusts (REITs) and a covered option writing strategy supposedly to generate income for the widow to live on. The true motivation was to generate commissions. The financial advisor excessively traded the widow’s account in not only options but technology stocks. The broker-dealer settled this dispute for $185,000 which was all of the widow’s losses.

FINRA Arbitration Settlement $183,602

This FINRA arbitration was settled with an individual investor for $183,602 by a major Wall Street firm in 2011 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $181,611

This FINRA arbitration was settled with an individual investor for $181,611 by a major Wall Street firm in 2013 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

Pre-FINRA Arbitration Settlement $175,000

This dispute was between a charitable organization and a major broker-dealer whose financial advisor misrepresented facts, mismanaged its portfolio and even took undisclosed commissions while working on a fee basis. The Wall Street firm quickly settled to avoid a scandal when it was advised of the financial abuse suffered by this charity in 2006 for $175,000.

FINRA Arbitration Settlement $175,000

This FINRA arbitration arose out of the underwriting for stock ratings scandal involving a major Wall Street firm’s brokerage and investment banking divisions during the 2000-2002 stock market crash. The firm settled in 2006 for $175,000.

FINRA Arbitration Settlement $175,000

This FINRA arbitration was settled with an individual investor for $175,000 by a major Wall Street firm in 2011 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $175,000

This FINRA arbitration was settled with another individual investor for $175,000 by the same major Wall Street firm in 2011 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $175,000

This FINRA arbitration was filed by a parent whose daughter had died in a car accident and discovered the stockbroker she had hired engaged in mutual sales practice abuses, including, mutual fund switching, penny stock fraud, unsuitable investment recommendations and churning. The dispute was emotional and fortunately settled at mediation for $175,000.

FINRA Arbitration Settlement $170,000

This FINRA arbitration was settled with an individual investor for $170,000 by a major Wall Street firm in 2009 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $170,000

This FINRA arbitration against a major broker-dealer in the United States and its off-shore subsidiary involved overconcentration of Puerto Rico municipal bonds and closed-end funds and unsuitable “hold” recommendations when the broker-dealer knew market conditions were perilous. The case settled in 2015 for $170,000 even though the broker-dealer claimed the clients’ accounts had thousands of dollars in profits.

FINRA Arbitration Settlement $165,000

This FINRA arbitration was settled with an individual investor for $165,000 by a major Wall Street firm in 2010 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $162,500

This FINRA Arbitration involved Puerto Rico investors who claimed their Puerto Rico broker-dealer over-concentrated and overleveraged their accounts in Puerto Rico municipal bonds and further made unsuitable recommendations to “hold” those positions when it knew market conditions were perilous. The case settled on the eve of the arbitration hearing in 2016 for $162,500.

FINRA Arbitration Settlement $160,000

This FINRA arbitration was filed by an investor against a major North Carolina bank with operations in Florida for its financial advisors unsuitable recommendations to invest in a option trading program which was mismanaged and because the investor losses. The excessive activity was flagged by the broker-dealer, but the customers were never contacted. The brokerage firm settled in 2003 for $160,000.

FINRA Arbitration Settlement $156,933

This FINRA arbitration was settled with an individual investor for $156,933 by a major Wall Street firm in 2012 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $150,000

This FINRA arbitration was filed by a retired dentist against a major Wall Street firm after its financial advisor recommended portfolio managers whose strategies he knew or should have known would concentrate the retirees securities portfolio in equities, including, those of aggressive growth based companies whose market capitalizations were collapsing and for the most part not generating any dividends that would serve as income sources for Claimants’ retirement living expenses. The asset allocation strategy and stock transactions were unsuitable for Claimants in light of investment objective mandated by their age, retirement status, and financial condition. The brokerage firm recognized its financial advisors negligence, and in 2005 settled with this investor for $150,000 which was substantially all of the losses suffered.

Florida State Court Settlement $150,000

This lawsuit was filed by a physician against an unregistered investment adviser who recommended viatical settlement contract investments without doing proper due diligence in what turned out to be a Ponzi scheme. The investment adviser ultimately settled after unsuccessfully attempting to appeal a lower court decision for the amount of the physicians losses, $150,000.

FINRA Arbitration Settlement $150,000

This FINRA arbitration arose out of unsuitable recommendations to finance a residence with a loan from a brokerage firm secured by investments which crashed during the 2008-2009 financial crisis. The arbitration claims were settled by the firm and 2011 for $150,000.

FINRA Arbitration Settlement $150,000

This FINRA Arbitration involved Puerto Rico investors who claimed their Puerto Rico broker-dealer over-concentrated their accounts in Puerto Rico municipal bonds and further made an unsuitable recommendation to “hold” those positions when it knew market conditions were perilous. The case settled in 2015 for $150,000.

FINRA Arbitration Settlement $148,906

This FINRA arbitration was settled with an individual investor for $148,906 by a major Wall Street firm in 2013 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Award $142,000
Case No. 91-00463
Fergus v. Drexel Burnham Lambert

This arbitration involved misrepresentations and unsuitable investments in connection with an option trading strategy in violation of the Florida securities statutes. The Arbitration Panel made a full award, including attorney fees, under the securities law statutes to this investor in the amount of $257,000.

FINRA Arbitration Settlement $141,580

This FINRA arbitration was settled with an individual investor for $141,580 by a major Wall Street firm in 2012 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $141,580

This FINRA arbitration was settled with another individual investor for $148,580 by a major Wall Street firm in 2012 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $139,000

This FINRA arbitration was settled with an individual investor for $139,000 by a major Wall Street firm in 2011 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $137,302

This FINRA arbitration was settled with an individual investor for $137,302 by a major Wall Street firm in 2013 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $135,942

This FINRA arbitration was settled with an individual investor for $135,942 by a major Wall Street firm in 2012 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

FINRA Arbitration Settlement $130,000

This FINRA arbitration was tried and settled midway during the arbitration proceeding. It involved unsuitable investment recommendations and churning of the customer’s account by a rogue broker. The investor recovered all of her losses, $130,000, in 1998 when this case settled.

FINRA Arbitration Award $133,455
Case No. 05-06509
Carole Bebout v. Morgan Stanley Dean Witter, Inc.

This FINRA arbitration was filed by a young widow who depended upon her small inheritance and life insurance proceeds to support herself and 7-year-old daughter. She entrusted her lifeline with a financial advisor who then recommended unsuitable investments in technology based mutual funds instead of a well-balanced fixed income investment program she desperately needed to survive. A substantial portion of her assets were lost in the 2000-2002 market crash. The amount lost in the market was fortunately awarded to her by the arbitrators.

FINRA Arbitration Settlement $125,000

This FINRA arbitration arose out of unsuitable recommendations by a Wall Street firm financial advisor to an unsophisticated investor to invest in technology based mutual funds which collapsed during the 2000-2002 market crash. It was settled in 2004 for substantially all of the losses suffered in the amount of $125,000.

FINRA Arbitration Settlement $123,754

This FINRA arbitration was settled with an individual investor for $123,754 by a major Wall Street firm in 2013 for losses arising out of a complex leveraged municipal arbitrage structured product which was allegedly misrepresented and mismanaged during the 2008 municipal bond financial crisis.

Federal Court Settlement $120,000

Defendants made the representations within letters to YESM shareholders concerning the delivery of instructions for the exchange of YESM common stock for CMGI common stock. They had no intention of fulfilling that representation. The Defendants knew from prior merger transactions that the information would be delayed and the exchange would be delayed and the Plaintiff and other YESM shareholders would not have the immediate liquidity that was represented and promised. The delays caused by Defendants resulted in substantial damages that were recovered in 2003 at mediation.

FINRA Arbitration Settlement $120,000

This FINRA Arbitration involved Puerto Rico investors who claimed their Puerto Rico broker-dealer overconcentrated their accounts in Puerto Rico municipal bonds and further made an unsuitable recommendation to “hold” those positions when it knew market conditions were perilous. The case settled in 2019.

FINRA Arbitration Award $118,700
Case No. 94-00877
Green v. Raymond James & Associates, Inc.

This arbitration involved a theft of $100,000 from Mr. Green’s account by a Raymond James stockbroker. The Raymond James account holder received an award of $118,700, including attorney fees.

FINRA Arbitration Settlement $117,500

This FINRA arbitration involved an unsuitable concentration of an investor’s assets in variable annuities which were also misrepresented that was settled in 2006 with a Wall Street firm for $117,500.

<< Case Results - Part 1 | Case Results - Part 3 >>

Client Reviews
★★★★★
Robert Pearce is part of that unusual breed of lawyers that are able to create empathy with clients and thoroughly adopt their cause. No half efforts here. He and his group of professionals are outstanding strategists that can execute with precise fervor and unyielding determination. Theirs is a huge wave of facts, research, precedents and preparation, that has impressed me in its thoroughness and creativity, and most importantly with the results. No stone goes unturned and no effort is ever spared. In my book, he and they are those of a very rare kind that one wants to keep for a very long time. Ramon F.
★★★★★
This law firm is the real deal. We were so lucky that they took our case as they have so much experience in securities and all the wrongdoing that happens in these investment companies where they mislead you and your money (as in our case) into schemes that are not what you think they are. Mr. Robert Pearce is one of the best lawyers around, a truly professional who will fight for you and will tell you as it is all the time. Astrid M.
★★★★★
Mr. Pearce is a great professional and attorney. He led me through every step of the process in a clear, direct and straightforward manner. I highly recommend him as a securities attorney. Rey S.
★★★★★
Just like the song from HAMILTON, it's so nice to have Bob Pearce on your side. He is the consumate plaintiff's lawyer: smart. dedicated, fully able to try a case but a great negotiator in a mediation. He did a wonderful job for us, fully supporting us through the process and more than holding his own against a large national law firm. Maurice Z.
★★★★★
No lawyer except Bob said I had a chance of winning. When Ubs lawyers laughingly offered me zero to settle the dispute, Bob became even more determined to prove everybody wrong. Bob was extremely prepared, and always a step ahead of the opposing attorneys throughout the arbitration. In the end, Bob and I had the last laugh when the arbitrators awarded me almost 6 million dollars. J. Blanco