(888) 513-3010$5,500,000.00
Recovery for losses related to research provided by an investment banking firm.
4,300,000.00
Recovery for losses related to Puerto Rico Bonds and Closed-End Bond Funds.
$3,300,000.00
Recovery for losses related to the recommendation and sale of Non-Conforming Investments (REITs and BDCs) by a National Independent Broker/Dealer
$1,700,000.00
Recovery for losses sustained by client of an RIA.
$1,429,000.00
Recovery for losses related to a Future Income Payment LLC (FIP) program
$1,200,000.00
Recovery for losses related to alternative investments (REITs, Direct Private Placements and Promissory Notes) sold by a regional Broker Dealer.
$1,150,000.00
Recovery for losses related to energy-related securities sold by a national 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.
$535,000.00
Recovery related to an annuity purchase from a commercial bank brokerage unit
$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.
