Rayna Brown v. J.P. Morgan (FINRA Arbitration No. 06-02977)
The Law Offices of Montgomery G. Griffin represented a former Vice President for a large Silicon Valley technology company who sought a recovery of her losses due to alleged unsuitable recommendations, fraud, and a failure to diversify. Despite a relentless effort by J.P. Morgan’s counsel (Sheppard Mullin LLC) to characterize the firm’s client as a sophisticated investor—which she was not—the Panel unanimously rendered a substantial Award ($99,963) in favor of the Law Offices of Montgomery G. Griffin’s client and assessed all FINRA forum fees ($17,400) against J.P. Morgan.