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 Our past cases and experience, while they cannot be adequately and comprehensively described here, but a sample of them are selected and summarized below.
This list of selected cases and decisions is not intended, nor should it be construed, as implying a likelihood of similar results in any other case. Each case depends upon its unique facts and circumstances.
George Brunelle
- McCarthy v. SEC, 406 F.3d 179 (2d Cir. 2005) (reversal, as an abuse of discretion, of SEC�s affirmance of NYSE disciplinary action, in a case that has become an important precedent in the assessment of regulatory sanctions).
- Matter of X, NYSE Disc. Action 97-93, 1998 NYSE Disc. Action LEXIS 154 (June 4, 1998) (�not guilty� decision in a case alleging multiple trading violations of a serious nature).
- Robert Harry Jones, NYSE Hearing Bd. Decis. 93-72, 1993 NYSE Disc. Action LEXIS 146 (June 11, 1993) (finding of �not guilty� on all but a single, minor violation in a case that had alleged several major trading violations involving multiple customers).
- Matter of X, NYSE Disc. Action 92-163, 1992 NYSE Disc. Action LEXIS 161 (Oct. 23, 1992) (�not guilty� decision in favor of registered representative who had been accused of effecting illegal �wash sales�).
- Matter of X, 1992 NYSE Disc. Action 92-141 (Sept. 18, 1992), (�not guilty� decision in favor of individual who had been accused of initiating unlawful transactions on the NYSE Trading Floor and of making material misstatements of fact to the NYSE).
- Matter of X, 1992 NYSE Disc. Action 92-119, 1992 NYSE Disc. Action LEXIS 122 (Aug. 17, 1992) (�not guilty� decision in favor of a broker who had been accused of making false statements to an NYSE Floor Official).
- Les Jacobs v. First Albany Corporation, 1998 NYSE Arb. Dec. LEXIS 110 (Jan. 19, 2000)(successful defense of executive compensation claim).
- Anne Brabner-Smith, et al. v. Fidelity Brokerage Services, Inc., 1996 NYSE Arb. Dec. LEXIS 242 (Jan. 16, 1998) (award of damages for investor losses, complied with recovery of investor�s costs and attorneys fees).
- Robb, Peck, McCooey Clearing Corporation v. Robert Grey, et al., 1994 NYSE Arb. Dec. LEXIS 645 (Nov. 13, 1995) (recovery of losses sustained by brokerage firm through fraudulent activities of a customer representative, along with successful defense of counterclaims).
- Olivia Burnette v. Martin Vulliez and Robb, Peck, McCooey Clearing Corp., et al. 1998 NASD Arb. LEXIS 724 (Sept. 7, 1999) (successful defense of customer�s claim of fraud, unsuitability and unauthorized trading).
- Sylvia Dudock v Spencer Trask Securities Corp., et. al., 1998 NASD Arb. LEXIS 323 (Nov. 6, 1998) (successful defense of customer claims of unsuitability and unauthorized trading).
- Stephen P. Cohen v. First Albany Corp., et al., 1999 NASD Arb. LEXIS 457 (Aug. 6, 1999) (successful defense of executive compensation claim).
- Gerhard and Monika Pohl v. Reich & Co, et al., 1997 NASD Arb. LEXIS 1381 (Dec. 24, 1997) (successful defense of customer claim of unsuitability and unauthorized trading).
- Irene K. Palen v. Fahnestock & Co., Inc., et al., 1995 NASD Arb. LEXIS 111 (Jan. 13, 1995) (successful defense of customer claim of unsuitability and unauthorized trading).
- Rockwell Trading Co. v. Fahnestock & Co., Inc., NASD Arbitration No 94-00191 (1994) (successful defense of introducing firm�s claim against clearing firm for liquidation of securities collateral).
Timothy Kebbe
- Gibby v. AGS Specialist Partners, NASD-DR Arbitration No. 05-00380 (Aug. 3, 2005) (successful defense of AMEX specialist organization in a case alleging negligence, manipulation and failure to execute orders).
- R.A. Mackie & Co., L.P. v. PetroCorp. Inc., 329 F. Supp.2d 477 (S.D.N.Y. 2004) (won multi-million dollar award, including attorney�s fees, in dispute over stock warrant agreement, establishing precedent on the use of expert testimony to establish the Black-Scholes pricing model as the appropriate valuation method for unexercised, unexpired warrants).
- Ellison v. American Image Motor Co., 36 F. Supp. 2d 628 (S.D.N.Y. 1999) (representation of broker-dealer in multi-million dollar class action alleging sale of unregistered stock and market manipulation; court decertified class of individuals who were allegedly sold unregistered stock; achieved favorable settlement for client of less than $90,000).
- Tsipouras v. W&M Properties, Inc., 9 F. Supp. 2d 365 (S.D.N.Y. 1998) (won dismissal of RICO claims by employee against his former employer).
- Northeast Securities, Inc. v. Quest Capital Strategies, Inc., NASD-DR Arbitration No. 98-00090 (Mar. 10, 2003) (won substantial changes in �dump back� arbitration against broker-dealer).
- Levenson v. Buckingham Research Group, Inc., NASD-DR Arbitration No. 99-03003 (defeated former employees� claim for alleged failure to pay bonus).
- Jones v. Foster Jeffries Securities, Ltd., NASD-DR Arbitration No. 98-02891 (Feb. 23, 2000) (won claims on behalf of public customer alleging failure to follow customer�s instructions, unauthorized transactions, unsuitability, fraud and failure to supervise; damages included compensatory damages, punitive damages, and interest).
- Tarnowski v. Kensington Wells, Inc., NASD-DR Arbitration No. 96-026257 (Sept. 12, 1997) (defeated claims for more than $1 million in compensatory and punitive damages based on alleged failure to disclose, and failure to execute sell orders; no damages awarded).
We can help you with your legal problem. Please call us today at
(212) 809 - 9100 to speak with our attorneys about your case.
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