$4,775,000
$4.775 million recovery from a brokerage firm that misrepresented the nature and risks of Lehman Brothers structured products, including so-called “principal protection” notes.
$3,750,000
$3.75 million recovery for an investor from a brokerage firm that improperly recommended and sold foreign exchange contracts.
$2,750,000
$2.75 million recovery from a brokerage firm that misrepresented the nature and risks of a leveraged real estate fund.
$2,200,000
$2.2 million recovery for institutional investor after brokerage firm misrepresented the nature and risks of a leveraged real estate fund.
$2,125,000
$2.125 million resolution of cybersecurity arbitration.
$2,000,000
$2 million recovery from a brokerage firm that (a) sold fraudulent securities issued by a Ponzi scheme after failing to conduct adequate due diligence of the Ponzi scheme, and (b) sold other risky and illiquid private placements.
