Experience
NASD Arbitration Involving Suitability Claims
Defended broker-dealer and its registered representative against suitability claims relating to an Indiana customer’s purchases of Putnam mutual funds, technology stocks and Enron.
NASD Arbitration on Suitability of Variable Annuity Purchase
Defended broker-dealer, its registered representative, and insurance company against suitability claims arising from a Florida customer’s purchase of a variable annuity.
NASD Arbitration Over Previously Surrendered Stock Certificates
Defended broker-dealer and its registered representative against claims by Wisconsin customer seeking value of General Dynamics Corporation stock certificates that were previously surrendered, and subsequently retained, by the stock’s transfer agent.
NASD Arbitration Involving Inappropriate Funds Transfers
Defended broker-dealer and its registered representative against claims by Texas customer alleging that firm inappropriately transferred funds from a joint account he held with his mother and brother, to a single account held only by his mother.
NYSE Arbitration for Suitability Claims Over Variable Annuity
Defended broker-dealer and its registered representative against suitability claims arising from a customer’s purchase of a variable annuity.
NYSE Arbitration Involving Client Portfolio Diversification
Defended broker-dealer and its registered representative against suitability claims arising from customer’s concentrated position in Level Three stock and refusal to follow recommendation to sell that position and diversify the portfolio.
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