Results

Litigation Case Results

SLCG's research and testimony frequently results in press coverage and awards, decisions or orders.


11-2017 $2.3 million Auguillard IRA et al v IMS Securities et al non-traded REIT Award
09-2017 $569,000 Benitone v Hilliard Lyons / Breitburn Energy Award
07-2017 $207,000 Hoffman v Gilford Securities et al Award
06-2017 Brown v. Morgan Stanley and Citigroup - $150,000 Award
03-2017 $4.4 million Cummings v UBS of Puerto Rico Award
02-2017 $9 million Romero v UBS PR Award
02-2017 $600,000 Matus v UBS of Puerto Rico Award
01-2017 $25 million Gomez v UBS of Puerto Rico Award
01-2017 $2 million Interactive Brokers VXX ETN Award
12-2016 $1 million Bien v Mid Atlantic Capital non-traded REIT Award
11-2016 $740,000 Condado Motors v UBS of Puerto Rico Award
11-2016 $958,000 Ciordia-Robles v UBS of Puerto Rico Award
10-2016 Padilla et al v Royal Alliance - $1.1 million non-traded REIT, Annuity Award
09-2016 $750,000 Rivera-Rivera v UBS of Puerto Rico Award
08-2016 Rovner v Oppenheimer - $115,000 Churning Award
08-2016 Zabara v FMS Bonds $218,600 Puerto Rican Bond Award
07-2016 $361,629 Ledesma v Popular Securities PR Bond and Fund Award
06-2016 $418,262 De Jesus v UBS of Puerto Rico Award
06-2016 $12.2 Million Judgment in Maybank v BB&T Affirmed
06-2016 Melton et al v. Morgan Stanley Smith Barney - $3.6 million Award
06-2016 Polito v Centaurus Financial Nontraded REIT Award
03-2016 $470,000 Melendez Ramos v UBS of Puerto Rico Award
03-2016 $1.2 million Ramos v UBS of Puerto Rico Award
03-2016 Wiles v Questar Capital - $135,000 non-traded REIT Award
02-2016 Silipigno v Raymond James - $800,000 Churning Award
02-2016 Aucoin v VSR Financial Services - $307,000 non-traded REIT / DPP Award
02-2016 $1.45 million Bengoa v UBS of Puerto Rico Award
02-2016 Ford et al v Royal Alliance - $600,000 non-traded REIT, Annuity Award
02-2016 Ohio Division of Securities, In the Matter of Timothy K. Fife - Ohio IA Registration to be Revoked
12-2015 $800,000 Chipi v UBS of Puerto Rico Award
12-2015 $1.425 million Roldan Caraballo v UBS of Puerto Rico Award
10-2015 Elliott v JP Morgan $1.2 Million Short Treasury Award
08-2015 Schvey v Janney Montgomery Scott - $427,000 Churning Award
08-2015 $2.545 million Rodriguez Gonzalez v UBS of Puerto Rico Award
07-2015 Gonzalez, Mora and Lewis v Royal Alliance - $1.4 million non-traded REIT, Annuity Award
07-2015 Artmire v First Midwest Securities - $850,000 Churning Award
05-2015 Smith v Centaurus Financial, Inc. - $914,650 DPP Award
05-2015 The Lawrence Rosenbloom Charitable Remainder Trust v. Oppenhimer & Co. - $434,000 Award
03-2015 Gilbert v Stifel Nicolaus et al - $1.5 million Churning Award
03-2015 Williams v MCM - $1,218,969 Hedge Fund Award
02-2015 Glen Lyon v Interactive Brokers - $666,618 Margin Liquidation Award
02-2015 LaBolle v Oppenheimer et al - $300,000 Churning Award
02-2015 Felter v National Planning Corporation - $1.22 million TIC Award
01-2015 Cerisano v Interactive Brokers - $2.4 million Negligence Award
12-2014 Purdue Avenue Investors LP v Morgan Keegan & Co. and Morgan Asset Management
11-2014 Maybank v BB&T et al - $17.2 million Variable Prepaid Forward VPF Award
04-2014 State of Illinois v. Richard Van Dyke - $353,500 Fined for Fraudulent Annuity Sales Practices
04-2014 Dulin v UBS - $5.4 million Intentional Interference Award
12-2013 Umstead v National Planning Group - $290,000 Asset Allocation / Concentration Award
12-2013 Lewis v Wells Fargo Advisors $355,000 Asset Allocation / Concentration Award
11-2013 Auto City Service v JP Morgan - $2.4 million Interest Rate Swap Award
09-2013 Farah v Wedbush Morgan Securities, Inc. - $4.3 million CMO-related Labor Award
09-2013 Odessa Fireman's Relief & Retirement Fund v Morgan Keegan - $399,566 (RMA, RHY) Award
06-2013 Berghorst v Citigroup - $2,000,000 MAT, MAT Two, MAT Three and MAT Five Award
06-2013 Harwich v Pacific Securities - $5,088,395 TIC Award
05-2013 Texas PGI v Citigroup - $1,057,067 ARS Award
05-2013 Asad v ProEquities, Inc. - $588,128 Tenant in Common TIC Award
01-2013 US Airways v Oppenheimer & Co. Inc. - $30 million ARS Award
01-2013 Gillespie vs Oppenheimer et al - $1.2 million Churning Award
12-2012 Golden v Genspring - $4.55 million "Low Volatility" Hedge Fund Award
12-2012 Dale v Morgan Keegan - $1.38 Million (MKIBX) Award
11-2012 Straccia et al v Ceros Financial Services - $1.82 million Leveraged and Inverse ETF Award
10-2012 Roberts v ThinkEquity - $1.475 million ARS Award
10-2012 Burford v JP Morgan Chase Bank - $18 million + Variable Prepaid Forward VPF Award
05-2012 Wagner v Wells Fargo - $2.225 million ARS Award
03-2012 Zeigon v First Republic - $870,631 TW Tax Advantaged Fund Award
02-2012 Rote v Morgan Keegan - $400,000 (MKIBX, RMH) Award
02-2012 Jenkins v Crowell Weedon - $51,807 Preferred Stock Award
01-2012 Hayes v Banc of America Securities - $1.4 million CLO Award
01-2012 Perry v Oppenheimer - $6.1 million ARS Award
01-2012 Callas Foundation, Inc. v Morgan Keegan - $265,000 (RMA, RHY) Award
11-2011 Puglisi v Citigroup - $750,000 MAT Five Award
11-2011 Pelican Holdings et al v Morgan Keegan - $889,340 (MKIBX, RMA) Award
11-2011 Lett et al v Wells Fargo Advisors, LLC - $130,000 Suitability Award
11-2011 Beattie v Merrill Lynch - $230,000 Annuity Award
10-2011 Estate of Margaret Cwirko v Morgan Stanley $241,344 Award
09-2011 Christian Brothers University v Morgan Keegan - $500,000 (MKHIX) Award
08-2011 Young v Deutsche Park Securities - $1 million Aravali Fund Award
08-2011 Precaspian Development Corporation v Todd Ficeto and Hunter World Markets - $6.2 million Award
07-2011 Robb et al v Neuberger Berman - $5,537,000 Lehman Structured Products / Hedge Fund Award
06-2011 Croce v UBS Financial Services - $1,770,000 UBS / Lehman Structured Products Award
05-2011 US Airways v Hansalik, et al - $15 million ARS Award
04-2011 Albertine et al v Morgan Keegan - $881,000 (MKIBX, RHY, RSF, RMA, RMH) Award
04-2011 Hosier et al v Citigroup - $54.1 million MAT Finance, MAT Two, MAT Three, MAT Five Award
02-2011 Coleman v Citigroup - $230,667 ASTA Five Award
02-2011 Karrels v Morgan Keegan - $373,135 (MKIBX) Award
02-2011 Liles v Morgan Keegan - $81,291 (RHY) Award
12-2010 Beard v Citigroup - $336,000 ASTA Five Award
12-2010 Barnett et al v Citigroup - $2,428,000 MAT Five Award
11-2010 Chapman v Citigroup - $3,000,000 Concentrated Stock Award
11-2010 Flautt v Morgan Keegan - $2,138,805 (MKHIX, RSF, RHY) Award
11-2010 Quiros v Merrill Lynch - $500,000 Award
11-2010 Lesmir et al v Wedbush - $3.1 million Nuveen ARPS ARS Award
11-2010 Mercer v Morgan Keegan - $444,978 (RSF, RMA, RHY) Award
10-2010 Hagman v Citigroup - $11,558,127 Award
10-2010 Garrett et al v Morgan Keegan - $9.2 million (RMH, RSF, RMA, RHY)
08-2010 Silk v Citigroup - $1,000,000 MAT Three and MAT Five Award
08-2010 East Tennessee Neurology, PC v Morgan Keegan - $484,357 (RMH, RSF, RMA, RHY) Award
08-2010 Kazma v Citigroup - $1,817,000 ASTA Three and ASTA Five Award
07-2010 Levinthal v First Republic - $2,178,153 TW Tax Advantaged Fund Award
06-2010 Miller v Citigroup - $489,877 MAT Three Award
06-2010 Miniaci v Morgan Keegan - $1,080,000 (MKIBX, RMA, RHY) Award
06-2010 Christianson v Morgan Keegan - $247,557 (RHY, MKHIX) Award
05-2010 Selan v Citigroup - $550,505 MAT Three Award
05-2010 Abramson v Citigroup - $1,710,000 MAT V Award
04-2010 Roe Green Foundation v Charles Schwab - $310,000 (SWYSX) Award
04-2010 Pomeroy v Charles Schwab - $850,000 (SWYCX) Award
04-2010 Mauney v Charles Schwab - $246,560 (SWYSX) Award
02-2010 Cobb et al v Morgan Keegan - $1,100,000 (MKHIX, RMH, RMA, RSF, RHY) Award
02-2010 Stein et al v Morgan Keegan - $2,500,000 (MKHIX, RMA, RSF, RHY) Award
11-2009 Flanagan v UBS Financial Services - $200,000 Structured Products Award
11-2009 Wade et al v Morgan Keegan - $370,000 (MKHIX, MKIBX, RMH, RSF, RHY) Award
11-2009 Smythe et al v Morgan Keegan - $1,000,000 (MKIBX, RSF, RMA, RHY) Award
10-2009 Rivkin v Charles Schwab - $327,245 (SWYSX) Award
09-2009 Eliot v Charles Schwab - $96,000 (SWYSX) Award
09-2009 Nasatir v Charles Schwab - $125,729 (SWYSX) Award
09-2009 Crow et al v Morgan Keegan - $148,000 (MKIBX) Award
09-2009 Chang v Charles Schwab - $88,245 YieldPlus (SWYSX) Award
09-2009 Kelly v Charles Schwab - $103,000 YieldPlus (SWYSX) Award
08-2009 Mayes v Charles Schwab - $116,000 YieldPlus (SWYSX) Award
08-2009 Bach v Citigroup - $250,000 MAT V Award
07-2009 Ross v Charles Schwab - $173,498 YieldPlus (SWYSX) Award
07-2009 Lanfear v Global Crown Capital - $1,688,000 Award
06-2009 United Prison Ministries v Morgan Keegan - $220,000 (MKHIX) Award
06-2009 Klosky v Morgan Keegan - $134,000 (RMH, RSF, RMA, RHY, MKHIX, MKIBX) Award
06-2009 Richardson v Morgan Keegan - $431,000 (MKHIX, MKIBX) Award
05-2009 Velez v Morgan Keegan- $75,000 RMH, RHY, RSF, RMA Award
05-2009 CASE Credit Union v Prudential - $1,028,443 Interest-Only CMO Award
05-2009 Humphries v Morgan Keegan- $285,222 (MKIBX) Award
04-2009 Ackerman, et al v Morgan Keegan - $81,169 (MKHIX) Award
03-2009 Brezden et al v Associated Securities - $8.9 Million Hedge Fund Award
03-2009 Willingham et al v Morgan Keegan - $187,215 (RHY, MKIBX) Award
03-2009 Muhlbauer v Morgan Keegan - $125,000 (RHY, RSF, RMA) Award
02-2009 McCarver v Morgan Keegan - $100,000 (RMH, RHY, RSF, RMA, MKHIX) Award
01-2009 Misha v Stone & Youngberg - $250,000 Leveraged Municipal Bond Arbitrage Award
02-2008 Coutant and Goheen v Morgan Stanley Dean Witter et al - $1.016 Million Concentration Award
12-2007 Lackey v Casimir Capital and James Ahern - $94,500 Churning Award
11-2007 Riley v Associated Securities - $605,000 Asset Allocation Award
10-2007 McKinney v Merrill Lynch - $3.321 Million Concentration / Variable Prepaid Forward Award
07-2007 Piscevich et al v Associated Securities - $450,000 Asset Allocation Award
05-2007 Rayburn et al v HSBC Securities - $775,000 Structured Products Award
04-2007 Schunmann v Donald Sowa - Misrepresentation $314,000 Award
02-2007 Almquist at al v Merrill Lynch - $1.5 million Award
10-2006 Nolan v Merrill Lynch - $1.775 Million Concentration Award
10-2006 Cherry et al v Raymond James Annuity - $577,000 Award
05-2006 Bouse et al v Wedbush Morgan Securities, Inc. - $3.8 million CMO Award
05-2006 Yellen et al v Citigroup Global Markets (SSB) - $536,500 Award
05-2006 Stockhausen v Citigroup Global Markets (SSB), Jack Grubman - $452,363 Award
02-2006 Carruthers v Citigroup Global Markets (SSB) - $900,000 Award
10-2005 Bauer v Raymond James Annuity - $453,210 Award
05-2005 AG Edwards Exercise and Hold - $931,000 Award
04-2005 Desrosiers v Robert W. Baird, Inc. - Account Mismanagement $400,000 Award
03-2005 Salomon Smith Barney Exercise & Hold Case - $2.5 Million Award
01-2005 Cox v Bush - $630,000 Asset Allocation Award
01-2005 Salomon Smith Barney/Spartis/Elias Exercise & Hold Case - $448,000 Award
12-2004 Brush et al v Merrill Lynch - $1.1 Million 72(t) Award
11-2004 Rooney v Wachovia Securities, LLC - Fraud, Breach of Fiduciary Duty $567,000 Award
09-2004 Berry et al v Merrill Lynch - $752,000 72(t) Award
09-2004 Hatch v H&R Block Financial Advisors - $507,937 Churning Award
03-2004 Bokan v Merrill Lynch, Pierce, Fenner & Smith, Inc. - Suitability $405,000 Award
03-2004 District Court Grants Defendants' Motion for Summary Judgment in WAXS Class Action
02-2004 Lopez v Merrill Lynch - $6.4 Million Exercise & Hold Award
10-2003 Wendling v Merrill Lynch - $1.73 Million Exercise & Hold Award
08-2003 Cote v Edward Jones - $90,367 Exercise & Hold Award
08-2002 Bauer v Morgan Stanley Dean Witter - $175,000 NYSE Award
07-2002 Millar v Merrill Lynch - $7.74 Million JAMS Award
07-2002 District Court Affirms $7.74 Million Award Against Merrill Lynch
12-2001 Garcia v AG Edwards - $571,159 Churning Award
12-2001 Wolfe v Considine - $424,183 Award
02-2001 Stanton v Cendant - $18.8 Million Securities Fraud Award
02-2001 Mueller v Gaines Berland - $372,922 Texas Securities Act Award
12-2000 Johnson v Ryan, Lee & Co. - $385,000 Award
10-2000 Maderazo v Piper Jaffray - $139,500 Award
11-1998 Haaz v Oppenheimer - $491,707 Churning Award