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Recent Arbitration Awards

  • Morgan Stanley Smith Barney, LLC v Patey (FINRA No. 10-01677 - OH) (secured award for full amount due to promissory note, in addition to interest, and successfully defend against claim for wrongful termination)

  • Skidmore v. J.P. Morgan Securities, Inc. (FINRA No. 11-01514 - NY) (secured dismissal of customer care alleging fraud and misrepresentation in the sale of securities)

  • Morgan Stanley Smith Bareny, LLC v. Andrea (FINRA No. 10-01898 - FL (secured full amount due under promissory note, in addition to interest, attorneys' fees and forum costs)

  • J.P. Morgan Securities, LLC v. Melanson (FINRA No. 11-02335 -  MASS)(secured $1,378,349 award against previous employee of J.P. Morgan)

  • Cohnen Family Trust v. J.P. Morgan Securities, LLC, McPherson and Kilkeary (FINRA No. 10-05719 - FL) (Successful defense of multi-million dollar claim alleging fraud, negligence and breach of duty, brought by a trustee against bank and two private bankers)

  • Citigroup Global Market, Inc v. Howard (FINRA No. 12-00227 - CA) (secured award against former employee for full amount due under recruit deal)

  • Herman v. J.P. Morgan Securities, Black and Eylward (FINRA No. 11-00571 - NY) (successful defense of bank and two investment managers against claims relating to a sophisticated hedge fund investment)

State & Federal Court

  • Stone v. Bear Stearns, J.P. Morgan Securities LLC et al, 2:11-cv-05118 (E.D.P.A., May 29, 2012) (successfully defended arbitration award against challenge for arbitrator bias)

  • Granite Associates, Inc. v. Rolon, 69 A.D.3d854, 894 N.Y.S.2d 69 (2d Dept. 2010)

  • Lehman Brothers, Inc. v. Cox, 10 N.Y.3d 743, 853 N.Y.S.2d 530 (2008)

  • Murray v. Citigroup Global Markets, Inc., 2009 WL 4280586 (N.D.Ohio) (Successfully defended arbitration award against challenge for manifest disregard for the law)

  • Nelson, M.D. v. Weatherly Securities Corporation, 2006 WL 708219 (S.D.N.Y.)

  • Smith Barney Shearson, Inc. v. Defries and Mainman S.A., 1994 WL 455178 (S.D.N.Y. 1994)

  • Cox. v. Lehman Bros, Inc.15 A.D.3d 239,790 N.Y.S.2d 16 (1st Dept. 2005)

  • Lehman Bros., Inc v. Masselli, 1998 WL 531831 (S.D.N.Y. 1998)

  • Smith Barney Shearson, Inc. v. DeFries, 1994 WL 455178 (S.D.N.Y. 1994)

  • Levy v. Shearson Leman Hutton, Inc., 826 F. Supp. 784 (S.D.N.Y. 1993)

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