We Represent B/Ds, RIAs, FCMs, IBs, and CTAs On A Cost Effective Basis That Delivers Results

We represent firms in federal and state court and in arbitrations before FINRA, the NFA, various commodities and options, exchanges as well as in enforcement proceedings initiated by the S.E.C., C.F.T.C., FINRA, the NFA, the exchanges, state securities regulators, and in grand jury proceedings. Below are some of our representative results.

Nick has represented the following industry firms: Bear Stearns & Company, Inc.; A.G. Edwards and Sons; J. P. Turner & Company, LLC, Peregrine Financial Group; Vestor Capital Partners, LLC, R.J. O’Brien; Regal Securities, Alaron Trading Corp., MPS LORIA Financial Planners, LLC, InterOcean Securities, Kingsbury Capital Securities, CF Global Trading, Tiger Financial Group, LLC, Angelo Gordon & Company; Doerge Capital Management; Balis, Lewittes, and Coleman; Kiley Capital; Riverside Securities; Milwaukee Private Wealth Management, and Saul Stone & Company.

We have been very successful in implementing a strategy that reveals the weak points of the customer or brokers case against our client apparent at an early state of the litigation. Therefore the vast number of our representations result in a settlement for less than the cost of defense. The settlements are, of course confidential.

These are representative cases that went to hearing and are part of the public record:

CFTC Docket No. 05-R058, entire Claim against the FCM was dismissed.

NFA No. 06-ARB-52 (Chicago, IL), Claimant sought approximately $500,000 in damages and was awarded zero damages.

NFA No. 05-ARB-40 (Chicago, IL), Claimant sought approximately $200,000 in damages against an FCM for the acts and omissions of is guaranteed introducing broker. Even though the guaranteed introducing broker was found to be liable, the claim against the FCM, who was represented by The Iavarone Law Firm, was dismissed with prejudice.

FINRA No. 03-02223 (San Francisco, CA), Claimant sought approximately $8 million in damages and was awarded zero damages.

FINRA Arb. No. 99-05634 (Chicago, IL), Claimants sought $2 million in compensatory damages and was awarded zero damages.

FINRA Arb. No. 01-02051 (Los Angeles, CA), Claimant sought $120,000 in compensatory damages and was awarded zero damages.

FINRA Arb. No. 99-04867 (Indianapolis, IN) Claimant sought approximately $900,000 in damages and was awarded of zero damages.

FINRA Arb. No. 99-00927 (Chicago, IL) in which Claimants sought $100,000 in damages and was awarded zero damages.