Archive: Archives: Representative Cases

Merrill Lynch v. Cooper

September 25, 2019

(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...

Wells Fargo Securities Inc. v.Sutro & Co., Inc., et. al.

September 25, 2019

(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...

Fenton v. Paine Webber

September 25, 2019

(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....

Daniel Stea v. JP Morgan Chase Bank N.A.

September 25, 2019

(2019) Contra Costa County Superior Court Case No. C13-02527. While representing individual defendant, obtained a complete dismissal of plaintiff’s entire case and all claims prior to trial. Order entered May 7, 2019, Honorable Steven K. Austin...

Hermosillo v. Williams

September 25, 2019

(2018) San Francisco Superior Court Case No. CGC-16-556217; This case was tried before a San Francisco jury from May 8, 2018 to June 1, 2018 the Honorable Garrett L. Wong presiding. As co-counsel and as lead attorney on his cross-complaint, Williams...