SEC v. Ariel Quiros et. al.; 16-cv-21301

Final Order approving $8 million dollar settlement

Brink v. Raymond James & Associates, Inc.; 15-cv-60334

Final Judgment and Order Approving $15 million dollar settlement

Investors file national class action lawsuit against Raymond James

Investors file national class action lawsuit against Raymond James resulting in a $15 million dollar settlement to resolve claims that the company charged customers unauthorized, hidden fees.

Attorney Hanley Serves as a FINRA Arbitrator

Attorney Hanley serves as an arbitrator to a FINRA Arbitration case involving retired investors’ disputes against Morgan Stanley.

$150 Million Dollar Settlement

Investors actions against Raymond James arose from the management and transfer of funds and margin loans among accounts and the class action claim was settled for $150 million dollars.

Award of Compensatory Damages, Interest, Attorneys’ Fees & Expert Witness Fees

Investors sued UBS and UBS was found liable for failure to supervise (negligence), common law fraud, breach of contract and breach and breach of fiduciary duty.

Award of Compensatory Damages Against Broker and Broker Dealer

Client sued broker and broker dealer for breach of fiduciary duty, fraud and negligence. Client was awarded full compensatory damages.

Final Order and Judgment Approving Class Action

US District Court Southern District of Florida approves settlement of class action against Newbridge Securities Corporation.

Award of Compensatory Damages and Sanctions

Award of compensatory damages and broker sanctioned for discovery abuses.

Award Against Morgan Stanley in Variable Annuity Case

Award of compensatory damages granted in a case involving unsuitable annuity exchanges

Award of Punitive Damages Against Stockbroker for Pump and Dump Scheme

Panel finds that investments were clearly unsuitable and too risky for an elderly, inexperienced investor.

Award of Compensatory Damages and Pre-Judgment Interest

UBS Financial Services, Inc. found liable for respondeat superior violations

Rescission, Punitive Damages, Interest and Attorneys’ Fees Award

Award against Investment Banker, Principal of Brokerage Firm, Branch Managers, Broker, Brokerage Firm and Successor Firm for rescission, punitive damages, attorneys fees interest and sanctions.

Punitive Damages Award

Award of compensatory and punitive damages entered against firm and advisor for joint and several liability.

Current Investigations >>