1. A Latin American client retained the Firm to initiate an action against a futures trading firm for inappropriate trade practices. After an arbitration hearing, the investor received an award in excess of Three Million Five Hundred Thousand Dollars.

2. The Firm was engaged by a group of New York State investors whose funds were converted by an unscrupulous broker employed by a brokerage firm. After a lengthy arbitration before FINRA, the clients recovered in excess of Three Million Three Hundred Thousand Dollars in damages.

3. The Firm was engaged by a group of investors from Long Island, New York to bring an action against a broker/dealer and registered representative for numerous and significant improprieties with respect to investments made in their accounts. After a FINRA arbitration, the investors were awarded in excess of Two Million Seven Hundred Thousand Dollars.

4. The Firm was retained by a group of medical doctors in connection with certain inappropriate and unsuitable investment advice in connection with their pension Plans. The clients recovered in excess of One Million Three Hundred Thousand Dollars after a FINRA Arbitration was initiated and litigated. 5. A futures floor brokerage trader in a dispute retained the firm over insurance coverage for injuries sustained while executing futures contracts trades on the floor of the Exchange. After litigation with the carrier, client received in excess of One Million One Hundred Forty Thousand Dollars in damages.

6. A client, who suffered significant trading losses in unsuitable securities, retained the Firm. After litigation, the client recovered in excess of Nine Hundred Seventy Thousand Dollars in damages.

7. The Firm represented a futures trading firm whose account was mismanaged by a futures commission merchant. After litigation, the client recovered in excess of Seven Hundred Eighty Thousand Dollars in damages.

8. A commercial construction company retained the Firm after unsuitable investment recommendations were made by a large brokerage firm. After litigation, the client recovered in excess of Seven Hundred Fifty Thousand Dollars in losses.

9. A futures floor trader retained the Firm after a dispute arose over the ownership of a membership interest in the New York Board of Trade. After protracted litigation, the client received in excess of Six Hundred Seventy-Five Thousand Dollars in damages.

10. The firm represented several physicians who had been misled about inappropriate investments. After litigation, the clients recovered in excess of Six Hundred Fifty Thousand Dollars in damages.

11. A group of investors retained the firm to seek redress against a brokerage firm and registered representative for unsuitable and unauthorized trading. After the FINRA arbitration, clients were awarded in excess of Six Hundred Thousand Dollars.

12. The Firm was retained by an international client, who was improperly induced to engage in unsuitable futures trading. After multiple arbitration hearings, the client was awarded in excess of Five Hundred Twenty Thousand Dollars in damages.

13. A CEO, who had been improperly discharged from his employment with an Investment Banking firm, retained the Firm. After litigation the client received in excess of Five Hundred Thousand Dollars in damages.

14. The Firm was retained by a registered representative, after he was improperly terminated without cause. After significant litigation, the client received in excess of Four Hundred and Fifty Thousand Dollars in damages.

15. The Firm represented an unsophisticated investor in connection with the improper solicitation and unsuitable recommendations of securities by a brokerage firm. The client was subsequently awarded in excess of Four Hundred Thousand Dollars in the FINRA Arbitration.

16. The Firm was retained by a group of investors from the Midwest who were improperly solicited to invest in unsuitable securities. After litigation, the clients recovered over Four Hundred Thousand Dollars in damages.

17. A husband and wife retained the Firm in connection with an inappropriate solicitation by a registered representative at a major brokerage firm to invest in unsuitable and speculative investments. After initiation of the FINRA Arbitration, the clients recovered over Three Hundred Seventy-Five Thousand Dollars.

18. An international client retained the Firm to recover losses incurred as a result of improper advice to engage in futures trading in the U.S. futures markets. After the NFA arbitration was commenced, client recovered in excess of Three Hundred Thousand Dollars in damages.

19. A Middle Eastern client retained the Firm concerning improprieties in his U.S. based securities account. After litigation, the client received in excess of Three Hundred Thousand Dollars in damages.

20. The Firm represented a retired widow in connection with unsuitable investments made in her securities account. After litigation, the client received Three Hundred Thousand Dollars in damages.

21. The Firm represented a former CEO who had been improperly induced to open a securities account and the account was thereafter traded without his authority. After litigation, the client received Three Hundred Thousand Dollars in damages.

22. The Firm represented a client who had incurred significant losses in the securities markets as a result of unsuitable recommendations. After litigation, the client recovered in excess of Two Hundred Eighty Thousand Dollars.

23. A client, whom had incurred losses in her investment account as a result of unauthorized trades, retained the Firm. After litigation the client was awarded over Two Hundred and Fifty Thousand Dollars by a FINRA Arbitration panel.

24. A foundation retained the Firm to recover losses as a result of improper and unsuitable investment recommendations were made by a brokerage firm. After litigation was commenced, the client received over Two Hundred Forty Thousand Dollars in damages.

25. An individual client retained the Firm to represent his interests in connection with his membership interest in the New York Board of Trade. After litigation, client received in excess of Two Hundred Thirty Thousand Dollars in damages.

26. A futures floor broker retained the Firm to represent his interest in a dispute with a brokerage firm. The Firm initiated litigation and recovered over Two Hundred Ten Thousand Dollars for the client for breach of contract.

27. The Firm was retained by several real estate cooperatives to recover losses to their reserve funds due to unsuitable investments. After litigation, the clients recovered in excess of Two Hundred Thousand Dollars in losses.

28. A senior citizen retained the firm after she had received inappropriate investment advice form a major brokerage firm. The Firm initiated litigation and recovered almost Two Hundred Thousand Dollars on behalf of the client.

29. An individual investor was misled in investing in an unsuitable insurance product from a national insurance company. After initiation of litigation, the client received in excess of One Hundred Ninety Thousand Dollars in damages.

30. An elderly widow retained the Firm to recover inappropriate and unsuitable losses suffered in the securities markets. After initiation of the FINRA arbitration, client recovered over One Hundred Eighty Thousand Dollars in damages.

31. The Firm represented a registered representative after he was improperly terminated without cause. After litigation, the client recovered in excess of One Hundred Seventy-Five Thousand Dollars in damages.

32. The Firm represented a futures trading firm for improper trades in their account. After initiation of the NFA Arbitration, the Firm recovered in excess of One Hundred Sixty-Five Thousand Dollars in damages.

33. A senior citizen retained the Firm to recover losses sustained in the securities markets as a result of unsuitable recommendations. Following the FINRA arbitration, the client recovered in excess of One Hundred Sixty Thousand Dollars.

34. The Firm represented an individual who was misled with unsuitable recommendations for her investment accounts. After litigation the client recovered in excess of One Hundred Fifty Thousand in damages.

35. An international client retained the Firm to recover inappropriate financial losses caused as a result of unsuitable and unauthorized investments in the securities markets. After initiation of the FINRA Arbitration, client received in excess of One Hundred Thousand Dollars.

The above referenced cases represent only a small sample of the numerous matters that have been handled by the Firm since 1989. They also do not include any of the disciplinary or regulatory matters in which the Firm has been retained and regularly gives legal advice.