Law Offices of Montgomery G. Griffin Prevails Over J.P. Morgan Securities for Elderly Physician Following 11-Day FINRA Arbitration

Investor Awarded Lost Opportunity (or, Market-Adjusted) Damages, Reimbursement of Investor’s Costs, Pre-judgment and Post-judgment Interest Mansoor Karamooz, Trustee, et al. v. J.P. Morgan Securities (FINRA Arbitration No. 17-00791) After J.P. Morgan Securities refused to make Dr. Mansoor Karamooz whole for the damages suffered by his three trusts during the five-year period it managed his investments, […]

$1,086,000 Award for Defrauded Group of Leverage Bond Investors

David W. Couch, Leslie L. Briley, Jr., et al. v. Wedbush Morgan Securities, et al. (NASD Arbitration No. 00-00737) Following a seven-day arbitration, a Los Angeles-based NASD securities arbitration panel voted unanimously to award a group of 11 investors represented by Montgomery G. Griffin a total of $1,086,000, which included 100% of their losses resulting […]

Griffin Firm Obtains Landmark Decision from U.S. District Court in Miami, Florida Enforcing Arbitration Subpoena Against Out-of-State, Non-Party Witness

On September 22, 2016, the Law Offices of Montgomery G. Griffin (“LOMGG”) (with the assistance of co-counsel James McQueen, Esq. of Newport Beach) obtained a landmark legal ruling in the United States District Court for the Southern District of Florida (Case No. 1:16-cv-21261JLK). The case involved a former broker (represented by a major international law […]

MF Global Hit for $544,265: FINRA Arbitrator Finds Brokerage Firm’s Conduct Was “Serious Wrongdoing” That “Violated Industry Standards” and Its Own “Supervisory and Compliance Manual”

MF Global, Inc. v. Sohan Dua (FINRA Arbitration No. 09-01371) MF Global, Inc. sued Sohan Dua, alleging that he was a sophisticated and experienced investor who had failed to repay a margin loan that MF Global made to him against his portfolio. After the Law Offices of Montgomery G. Griffin was retained to represent Dr. […]

Expungement Obtained of Two 7+ Year Old Customer Complaints from Former Broker’s Record

In 2019, the Law Offices of Montgomery G. Griffin (“LOMGG”) successfully obtained expungement of two dated customer complaints from the FINRA CRD/BrokerCheck Record of a former registered representative (“Client”) who was in the process of relaunching her career as a Certified Financial Planner. Both complaints were placed on the Client’s record as a result of […]