REPRESENTATIVE RESULTS

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• Obtained a $1.4 million arbitration award against general contractors before a Houston AAA Construction Industry Panel in Houston, Texas on behalf of a national concrete shell contractor, completely defeating counterclaims and with a reasoned award finding no delay to the project on the part of the firm's client.

 

• Obtained a $2 million pre-litigation mediated settlement for Fortune 100 energy transportation in company in Houston, Texas against general contractor that terminated operations and abandoned remaining pipeline construction work. The settlement was achieved notwithstanding contractor's claims of no assets and with no offers of settlement before mediation.

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• Obtained a $5 million verdict in Houston, Texas for Fortune 100 energy transportation company in Texas against contractor for breach of contract and defeated contractor's counterclaims alleging that pipe provided by company was defective.

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• Obtained dismissal of all claims in Dallas, Texas trial court against business owner in fraud case claiming significant damages including for alleged conversion of corporate funds.  All claims were voluntarily dismissed with prejudice against the client with no payment.

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• Represented development company for complex shareholder derivative action in Miami-Dade County, Florida, resolving all claims at nonbinding arbitration with dismissal of claims and no payment made by the company.

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• Successfully obtained a temporary restraining order against FINRA in the California trial court in what is believed to be the first case of its kind restraining FINRA from suspending two financial advisors' licenses for failure to pay an arbitration award.

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• Represented Series 7 Broker before the Securities and Exchange Commission ("SEC") relating to sales of GWG L-Bonds with finding of no wrongdoing by the Commission.

 

• Successfully defended financial advisor departing UBS for new broker-dealer from claim of misappropriation of propriety company information.

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• Successfully initiated wrongful discharge action on behalf of financial advisor in Michigan FINRA arbitration favorably resolving Morgan Stanley promissory note claim.

 

• Successfully defended financial advisor with favorable settlement of promissory note after filing motion to vacate in the Florida trial court.

 

• Successfully obtained expungement of all occurrences from financial advisor's CRD Records in expungement action opposed by customer and in which customer both filed opposition papers and appeared at hearing to testify against expungement.

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• Successfully obtained expungement of four occurrences from financial advisor's CRD Records including claim that advisor placed personal funds into customer's bank account.

 

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