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.

Arbitrator Awards Retiree Damages after Broker recommended Breitburn

A Financial Industry Regulatory Authority (FINRA) arbitrator has upheld a claim for damages against Merrill Lynch, after the brokerage firm recommended BreitBurn Energy Partners LP. [OTCMKTS: BBEPQ]

FSU Alum recovers graduation savings after filing claim against Tampa Broker Dealer

A Florida State University Alumnus who lost graduation and birthday savings he had invested with Calton & Associates, has recovered all his losses after filing a claim for damages against the Tampa broker dealer.

Retired Auto Mechanic Recovers All Investment Losses in Claim Filed Against AmTrust Investment Services

FORT LAUDERDALE, Fla., -- Learn more about the claim that led to an Award for recovery of all investment losses by clicking the video player above. Then read the report below on how this retiree got all his money back plus interest. Investment Losses The law firm of...

Florida Family Awarded Damages against Broker who Blamed Tsunami for Losses

Ft. Lauderdale, Fl. & New York, NY – A Florida family, whose broker from New Jersey based brokerage firm Buckman, Buckman & Reid, blamed the Tsunami for their stock investment losses, has been awarded damages by a FINRA arbitrator. Attorney Mark A. Tepper, the...

FINRA arbitrator rules against Charles Schwab

..as reported in The Associated Press By Rzl-avv-ajh | AP – Tue, Jul 5, 2011 FORT LAUDERDALE, Fla. - Charles Schwab has been ordered to pay compensatory damages and other costs to a Maryland couple who claimed the brokerage firm advised them to remain invested in a...

Schwab Ordered to Pay Back YieldPlus Investors

Ft. Lauderdale , Fl. - A FINRA Arbitrator has awarded compensatory damages, interest, attorney's fees and costs to a couple who filed an individual claim against Charles Schwab (NASDAQ: SCHW) following YieldPlus Fund investment losses. The Securities Law Firm of...

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