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Forty-four years of complex litigation experience

Class actions are where one plaintiff seeks to represent a larger group of people who are similarly situated.  A court must certify the class in in order for it to proceed on a class wide basis.  Examples of cases that where class action status can be sought include claims under the Telephone Consumer Protection Act or ERISA.

FiNRA arbitrations are claims brought by individual investors or small groups of investors for losses sustained in their investment account due to broker negligence, fraud, or other misconduct.

Howard has litigated and tried many cases of both types in federal court, state court, and before FINRA.  Listed below are some of the cases we have handled.

Sample cases and results
  • Currently assisting Puerto Rico counsel in FINRA cases for investors in UBS closed end Puerto Rico bond funds.

  • Represented former broker in wrongful termination case against Popular Securities LLC of Puerto Rico.

  • Filed series of FINRA RMBS cases against world's largest banks on behalf of institutional client who bought $500 million of structured product.

  • Pursued class action against Pushpin Holdings LLC and Lease Finance LLC in N.D. Illinois.  

  • Participated in putative class action against ratings agencies in N.D. Illinois.

  • Litigated class cases for German investiors in S.D.N.Y.

  • Fleming v. Morgan Keegan, six figure FINRA award affirmed, 507 Fed. Appx. 625 (8th Cir. June 1, 2013).

  • Pessel v. Morgan Keegan, FINRA award affirmed, 2012 U.S. Dist. LEXIS 60465 (D. Col. May 1, 2012)

  • Butterworth v. Morgan Keegan, $600,193 award affirmed, 2012 U.S. Dist. Ct. Lexis 140209 (N.D. Ala. Sept. 28, 2012).

  • Barth v. Heart Check America, $4,000,000 class settlement, approved Clark Co., Nevada, (Case No. A-11-646233-C).

  • Taylor v. Morgan Keegan, $471,000 Award, FINRA Case 10-03380.

  • Bedran v. Advanced Equities, Inc., $55,000 Award, FINRA Case 09-01258.

  • Hollingsworth v. Morgan Keegan, $57,582 Award, FINRA Case 08-00674.

  • Cover v. Morgan Keegan, $55,000 Award, FINRA Case 08-01659.

  • Anthony v. Investors Capital, $653,498 Award, FINRA Case 06-04080.

  • Battle v. Northeast Securities, $329,242 Award, FINRA Case 06-04110.

  • Del Favero v. Re-Direct Securities, $366,562 Award, FINRA Case 06-02685.

  • Rawlins v. Sterling Forex Forex, $1,000,000 class settlement, (S.D.N.Y. 03 CV 00089).

  • Zanis v. A.G. Edwards, $95,000 Award, FINRA Case 00-01327.

  • Brewster v. J.W. Charles Securities, $190,750 Award, FINRA Case 96-05188.

  • Zarecor v. Morgan Keegan, Argued in 8th Circuit -  partial reversal of adverse district court decision.

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