Financial Services/Securities

Representative Cases

• Mediated claim by customer alleging that independent Investment Advisor engaged in unsuitable trading and that custodial Broker Dealer failed to catch red flags of the IA’s activity.

• Mediated claim by asset management company alleging securities fraud by publicly traded company relating to securities held in several of its investment portfolios.

• Mediated customer’s claim that the Broker Dealer failed to obtain best execution of customer orders during a system outage.

• Mediated case by plaintiff Broker Dealer against underwriters of asset-backed securities for securities fraud.

• Mediated customer claim that certain risks associated with alternative investments were not disclosed and that declining investment performance was inaccurately reported on account statements.

• Mediated case against corporate 401k plan alleging excessive fees for use of proprietary mutual funds as exclusive participant investment options.

• Mediated case by credit card issuer against cardholder for breach of contract.

• Mediated case brought by school district against commercial insurance broker for erroneously enrolling participants in the wrong health insurance plan.