Case Results
FINRA Declines To Fine, Suspend Or Expel Investment Banking Associate In New York Who Repeatedly Doctored Expense Receipts Recently, I was approached by a former investment banking associate ("the former associate," "the ex-associate," "my former associate client, or "my ex-associate client") who, over two years after she quit her employment with a brokerage firm in New York City and began…Read More
FINRA Declines To Fine, Suspend Or Disbar Registered Representative In New York Who Falsely Told Her Brokerage Firm That She Had Passed And/Or Taken A Securities License Examination Recently, I was approached by an anti-money laundering associate ("the associate" or "my associate client") who -- while her brokerage firm in New York City was conducting an internal investigation of her…Read More
Manufacturer In New Jersey Recovers $100,000 Default Judgment For Breach Of Revolving Credit Agreement Recently, in a lawsuit in New Jersey state court for breach of a revolving credit agreement, I recovered, on behalf of the lender, a custom injection molder in New Jersey, a final judgment by default against the borrower, an import/export company, and the individual guarantor --…Read More
Manufacturing Company In New Jersey Obtains $270,000 Default Judgment For Breach Of Sales Contracts Recently, in a lawsuit in New Jersey state court for breach of 177 contracts for sale, I obtained, on behalf of the seller, a plastics manufacturer in New Jersey, a final judgment by default against the buyer, an office products company, for compensatory damages of $247,691.46,…Read More
National Labor Relations Board Dismisses Charge Alleging That Corporate Owner Of Apartment Building In New York City Fired The Building's Superintendent For Organizing A Union Recently, I was retained by the corporate owner (the "Company" or "my corporate client") of a six-story residential apartment building in Bronx County, New York City, to defend a charge which the building's former superintendent…Read More
County In New Jersey Dismisses Disciplinary Charges Against Director Who Blew The Whistle On Health Care Facility's Unlawful Refusal To Remedy Safety Hazards To Patients In spring 2014, I was approached by the director (the "health care facility's director," the "director" or "my director client") of a large health care facility owned and operated by a county within the State…Read More
FINRA Declines To Fine, Suspend or Expel Broker In New Jersey Who Repeatedly Wrote The Payment Amount And The Date On Copies Of IRA Distribution Request Forms Which Twelve Customers Had Signed And Otherwise Had Completed In fall 2014, I was approached by a retail broker ("the broker" or "my broker client") who, after an internal investigation, recently had been…Read More