COVID-19 Update: How we are serving and protecting our clients.

Wins & Settlements

Lax & Neville Has Won More Than $13 Million For Former Credit Suisse Advisers Seeking Deferred Compensation In FINRA Arbitrations, Including A Recent Award To Four Advisers For $2.3 Million Two More Former Credit Suisse Advisers Represented by Lax & Neville LLP Win FINRA Award, New York Labor Law Claims Against Credit Suisse Lax & Neville Achieved a $2.7 Settlement on Behalf of a Managing Director in an Employment Compensation Dispute Lax & Neville is Successful in Defending a Hedge Fund's Motion for Summary That Sought to Dismiss a Managing Director's Claims, Including for Liquidated Damages, Prejudgment Interest, and Attorneys' F Lax & Neville LLP Appointed Special Securities Counsel for Court Appointed Receiver New York Supreme Court, Commercial Division Denies Credit Suisse's Petition to Vacate $1 Million FINRA Award for Unpaid Deferred Compensation Two More Former Credit Suisse Advisers Represented by Lax & Neville LLP Win FINRA Award, New York Labor Law Claims Against Credit Suisse Lax & Neville LLP Wins over $1.2 Million and Expungement of Broker Record in Wrongful Termination Suit Another Former Credit Suisse Adviser Represented by Lax & Neville LLP Wins a FINRA Arbitration Award Against Credit Suisse Securities (USA) LLC in the Deferred Compensation Arbitrations Former Credit Suisse Adviser Represented By Lax & Neville LLP Wins First FINRA Arbitration Award Against Credit Suisse Securities (USA) LLC in the Deferred Compensation Arbitrations Lax & Neville Reaches $1.035 Million Settlement on Behalf of Investment-Banking Firm Owed Fees from Pay-Day Lender Lax & Neville Reaches $1.4 Million Settlement on Behalf of Clients Who Suffered Sales Practice Abuse Lax & Neville Successfully Collects over $1.2 Million for Customer of John Thomas Financial and Anastasios Belesis Lax & Neville Wins Over $500,000 In A Compensation FINRA Dispute Lax & Neville LLP Wins A Monetary Award And Expungement Relief For HSBC Securities (USA) Inc.’s Filing Of A False Form U-5 In A FINRA Arbitration Lax & Neville LLP Wins A $16.6 Million Award In A FINRA Arbitration On Behalf Of Two Retail Investors, Through Ontonimo (OMO) Limited, Against BNP Paribas Securities Corp Lax & Neville LLP Wins Arbitration Award Against Investment Advisory Firm SICA Wealth Management and Investment Advisor Jeffrey Sica For Breach Of Fiduciary Duty Lax & Neville LLP Wins a FINRA Arbitration Award Granting Expungement Relief to a Former UBS Registered Representative Lax & Neville Wins $900,000 FINRA Arbitration, Including Punitive Damages, Against John Thomas Financial, Anastasios Belesis, George Belesis and Joseph Castellano For Churning And Failure To Supervise Clair R. Couturier, Jr. vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Phil Scott Group, et al FINRA Dispute Resolution No. 11-00867 Lax & Neville Win $263,219 FINRA Arbitration Award Brought By Current Morgan Stanley Smith Barney Employees For Payment Of Their Back-End Bonuses Kevin Kaiser vs. Raoul's Restaurant Corp., Cindy Smith et al. - Index No. 112674/2007 John J. Baker, Natalie N. Baker and John Baker, as Personal Representative of the Estate of Harriet B. Baker vs. Merrill Lynch Pierce, Fenner & Smith, Incorporated - Index No. 11-108492 Westminster Securities Corp. v. Petrocom Energy Limited, Petrocom Limited and Howard Au - 11-607 Douglas and Kristin Mirabelli v. Merrill Lynch, Pierce, Fenner & Smith, Inc. - FINRA No. 10-03400 OBEX Securities, LLC vs. Healthzone Limited – Index No. 10-6876 (SAS) Scottrade, Inc. v. Broco Investments, Inc., Valery Maltsev, and Genesis Investments, LLC, 10 Civ. 3537 (RJH) Westminster Securities Corp. v. Petrocom Energy Limited, Petrocom Limited and Howard Au - 10 Civ. 7893 (DLC) John J. Baker, Natalie N. Baker and Harriet B. Baker v. Merrill Lynch, Pierce, Fenner & Smith, Inc. - FINRA No. 09-06762 David B. Newman v. Family Management Corporation et al. Kevin Kaiser vs. Raoul's Restaurant Corp., Cindy Smith et al. - Index No. 112674/2007 Ilona Meszaros v. Axial International Limited and Saul Marks, 111897/09 Mintz & Gold, LLP v. Zimmerman, 102758/07: Decided March 30, 2010 Santanu Bhattacharya and Gargi Dasgupta vs. Chicago Investment Group LLC and Mitesh Shere Madoff Class Action Adv. Pro. No. 09-1265(BRL) JLM Chemicals, Inc. v. Summit Resources Group, Inc. 08 Civ. 10296 Decided: April 24, 2009 Citigroup Global Markets, Inc. v. Joseph C. Delaura Frank H. Suits, Jr. et al. vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Michael Keefe Gorman NYSE No. 2006-016588 United States ex rel. John Glover v. Federation of Protestant Welfare Agencies, No. 05-CV-6522 (S.D.N.Y. Dec. 5, 2008) (oral opinion) Westminster Securities Corp. and John O'Shea vs. HQ Sustainable Maritime Industries, Inc. AAA No. 13 199 Y 00334 06 Mintz & Gold, LLP v. Zimmerman, 102758/07: Decided March 30, 2010 Claimant v. DEPFA Bank, plc Decided: March 22, 2007 McMahan Securities, Co. L.P. vs. Michael Shillan Paul Fitzgerald v. Fahnestock & Co., Inc. and Oppenheimer & Co., Inc. NYSE No. 2004-015875 Mitchell Slater v. Merrill Lynch, Pierce, Fenner & Smith. Inc. and Thomas Fickinger NASD # 05-04072 Albert T. Jenks and Irena L. Jenks v. Securities of America, Inc. et. al. NASD No. 03-05007 Gary Farber v. SunTrust Banks, Inc., et.al. NYSE No. 2004-015608 Lucille Banahan v. Wachovia Securities, Inc. NASD No: 04-01979 Kenneth Irving v. Salomon Smith Barney, Michael Lent and William Lent NYSE No. 2002-011137 Simerman v. Salomon Smith Barney, Prudential Securities and Patricia E. Selin NASD No. 02-07640 George C. Grivas v. Kerry J. Dukes, et.al. NASD No. 00-02709 Stanley & Laja Shtupak v. JWGenesis Securities, Inc., et al. NYSE No. 2001-008968 Sven Grasshoff vs. Aaron Etra - Index No. 650832/2012 Additional Settlements
Featured in
New York Times, BusinessWeek, Dowjones Newswires, CNN Money, Forbes, WSJ, Thomson Reuters & SAC
Contact Us for a Free Consultation
NY: 212-696-1999 / DC: 202-792-0101