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Associated Human Societies v. Merrill Lynch FINRA-09-00951
Comet Enterprises v. Merrill Lynch NASD 04-04080
David Siroospour v. Merrill Lynch NASD 03-05673
Lovell v. Wells Fargo FINRA 12-00793
Speakman v. Merrill Lynch Pierce Fenner & Smith NASD 05-02896
Madhany v. Citigroup FINRA 10-04929
Kornhauser v. Morgan Stanley FINRA 14-01864
Lowe et al. v. Southwest Securities FINRA 14-02864
Lashlee, McCrea v. Source Capital FINRA 16-00147

Notable Cases

Securities and Exchange Commission v. Paul Joseph Sheehan

Securities and Exchange Commission v. Lefebvre, Herula, RMO Assets Management, Watch Hill Capital LLC

United States v. Speakman

Berks County broker pleads guilty in mortgage scams

Securities and Exchange Commission v. Gruttadauria, DH Strategic Partners Inc., JYM Trading Trust

Radio's Investment Advisor Left Questions

FINRA Arbitration Panel Tags Signator Investors for $1.6 million in Selling-away Case

Securities and Exchange Commission v. Wade James Lawrence

Awards

Herskovits v. Ladenburg Capital NASD 02-01264
Citigroup Global hit with $3.1M arbitration award
Elderly investors win $1.25 million Finra arbitration over failed medical start-up investments