415-292-3656
415-292-3656 (2003) Fresno County Superior Court Case No. 03 CECG 02312 SJK. Complaint for Injunctive Relief, Breach of Contract, Misappropriation of Trade Secrets, etc brought by Merrill Lynch against departing broker and new firm RCB Dain Rauscher. Ex Parte...
(2001) NASD Case No. 01-00549. Wells Fargo’s claims against Sutro and Reg. Rep. Laughton were heard by an NASD panel over three days in January 2002. Panel unanimously denied all claims for injunctive relief and compensatory damages, forum fees...
(2000) NASD Case No. 00-00214. Customer complaint compelled to arbitration from Superior Court. Allegations of breach of fiduciary duties, “failure to know”, etc. Matter settled on the eve of arbitration for “nuisance” value....
(1999) Case No. PCX199.04. Represented Berger Barnet Investment Partners in their appeal and challenge to an order from the Pacific Exchange "delisting" Amazon.com as an option on the exchange. Obtained an order reversing the decision of the...
Case No. PCX199.04. Represented Berger Barnet Investment Partners in their appeal and challenge to an order from the Pacific Exchange "delisting" Amazon.com as an option on the exchange. Obtained an order reversing the decision of the Pacific...
(1996) 41 Cal.App.4th 1167. Leading California case on compelling arbitration in the face of a claim of bar by the statute of limitations. Represented an individual against the corporation Kennedy Cabot & Co., a stock trading firm. The Court of...
National Association of Security Dealers No. 92-03263. This was an action filed in the superior court which was compelled to binding arbitration before the National Association of Securities Dealers. Represented respondent Robert Thomas Securities...
