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.

Miami Dade Retiree wins Arbitration Award – Claimed Wachovia Cracked Nest Egg

Ft. Lauderdale, Florida. - A retired Dade County court clerk, whose nest egg was being managed by Wachovia, has been awarded by a FINRA arbitration panel, full recovery of the losses requested, plus interest, attorney fees, forum fees and costs. The arbitration Award...

2003 Arbitration Award for Holocaust Survivors Earns Mark A. Tepper law firm Attorney Fees in 2010

Ft. Lauderdale, Fl. & New York, NY. – A complex series of legal arguments which began following a 2003 arbitration award to holocaust survivors, has resulted in the further award this month of attorney fees and costs to the law firm of securities fraud attorney...

Stock Broker Held Accountable for Sister’s Investment Losses

Investors Awarded Full Recovery FORT LAUDERDALE, Fla., Feb. 16 -- A former school teacher and her husband, who were victimized by her stockbroker brother, have been awarded full recovery of all losses plus interest, attorney fees, forum fees and costs by a FINRA...

Attorney wins arbitration case for couple who sued broker relative

A FINRA arbitration panel awarded full recovery of all losses plus interest, attorney fees, forum fees and costs to a former school teacher and her husband, who were victimized by her stockbroker brother. The story was reported by Christine Jordan Sexton for the Daily...

Sister sues brother and his brokerage — and wins $6O8K award

Archived news about Calton & Associates and stockbroker Kenneth Popek As reported in Investment News By Bruce Kelly. A sister who sued her brother and his brokerage firm won a $608,000 arbitration decision last month in a case that alleged, among other claims,...

Small, injured investors find avenue to recovery

..as reported in the Daily Business Review JUSTICE WATCH by John Pacenti Mark Tepper, a former New York prosecutor now in Fort Lauderdale, has carved out a practice fighting for consumers who lost money to questionable brokerage practices. It’s not big money – except...

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