Awards and Settlements

Representing Investors Nationwide

$535,000.00

“Recovery related to an annuity purchase from a commercial bank brokerage unit”

$5,500,000.00

Recovery for losses related to research provided by an investment banking firm.

$1,700,000.00

Recovery for losses sustained by client of a RIA.

$1,200,000.00

Recovery for losses related to alternative investments (REITs, Direct Private Placements and Promissory Notes) sold by a regional Broker Dealer.

$1,100,000.00

Recovery for losses related to short-term bond funds sold by national Broker Dealer.

$900,000.00

Recovery for losses sustained by mutual funds sold by a national fund distributor to retail clients.

$487,000.00

Recovery for losses related to Alternative Investments (REITs, Direct Private Placements, Limited Partnerships and Promissory Notes) sold by a regional Broker Dealer

$158,000.00

Claimant award against Citigroup Global Markets including statutory interest of $38,500.00 and attorney’s fees of $14,500.