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.