Case Results

A Selection of our Case Results including FINRA Arbitration Awards

Seniors lose billions to financial fraud, and unfortunately, retirees are often the targets of investor fraud.
This archive of a selection of Arbitration Awards is as a result of claims for the recovery of losses suffered by investors, filed by Securities Fraud Attorney Mark A. Tepper. They include those decided by FINRA arbitrators.
These cases illustrate a wide cross section of the investment fraud issues that Mr. Tepper has successfully confronted in seeking financial recovery for clients.

The first step in the process of seeking recovery for clients of the law firm of Mark A. Tepper is a thorough assessment and calculation of the losses suffered by clients, as a result of stockbroker fraud. To obtain a fair recovery for its clients, based on these damage calculations, the law firm of Mark A. Tepper pursues all options, seeking recovery for its clients through arbitration, mediation, direct negotiation and if necessary through a Hearing to obtain a fair recovery.

Many cases not listed here are resolved through settlement. Broker/Dealers traditionally want a confidentiality provision in these settlement agreements.
Investors can also obtain more information about, and the disciplinary record of, any FINRA-registered Broker or Brokerage firm, using FINRA’s Broker Check.
Broker Check is a free service for investors and can be found at www.finra.org/brokercheck.

Mark Tepper Law Firm wins recovery for its Client against Raymond James following the Broker’s BreitBurn and LINN Recommendations

In addition to damages, Raymond James [NYSE: RJF] must also pay a former customer’s attorneys’ fees, expert fees, filing fees and interest on losses.

Retiree praises Mark Tepper Law Firm for Recovering all Investment Losses Plus Interest in Claim Against RBC Capital Markets

The Claim alleged that RBC Capital Markets broker, James M. Earl, told the retiree that her irreplaceable funds were in good investments.

Retiree Awarded All Investment Losses Plus Interest in Claim Against RBC Capital Markets

The law firm of Securities Fraud Attorney Mark A. Tepper
represented the 80-year-old retired secretary who alleged her broker took advantage of her vulnerability.

As reported in On Wall Street

Excellent article about Mark Tepper law firm’s recent win against Wells Fargo. The law firm had filed claim with FINRA on a widow’s behalf.

Widow who recovered all investment losses praises Mark Tepper Law firm

Joy Rosen, a widow who recently recovered all losses in oil and gas securities including LINN Energy, LLC, [OTC: LNGG], BreitBurn Energy Partners, LP, [OTC: BBEPQ] and Sandridge Energy, Inc. [NYSE:SD]; real estate Investment trusts (“REITS) has praised the Mark Tepper law firm for its work.

Widow recovers all investment losses plus interest after Mark Tepper Law Firm’s win against Wells Fargo WFC for Unsuitable Recommendations

A widow who filed claim against Wells Fargo [NYSE: WFC], has been awarded compensatory damages, interest, attorney’s fees, and filing fee reimbursement by a FINRA Arbitrator.

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