J.P. Morgan Predecessor Settles Employment Claims and Agrees Not to Oppose Broker’s Efforts to: (1) Expunge Customer “Forgery” Complaint from Her Form U-4; and (2) Replace the “Reason for Termination” on Her Form U-5 (plus all forum fees of $14,000 assessed against firm)

Flavia LoCoco v. Washington Mutual Financial Services, Inc. (FINRA Case No. 06-04695) Following a 17-month arbitration battle which culminated with a four-day FINRA arbitration hearing in Los Angeles before a three-member Panel of arbitrators, J.P. Morgan’s predecessor firm (Washington Mutual Financial Services) settled the Law Offices of Montgomery G. Griffin’s client’s employment claims for, among […]

J.P. Morgan Securities Ordered to Pay $99,963 (plus forum fees of $17,400 assessed against J.P. Morgan)

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 […]

Arbitrators Award Elderly Couple $125,000 Against Orange County Brokerage Firm and Make a Specific Finding of “Fraud”

Joan L. Grosse and Ronald P. Grosse v. Pacific Coast Financial Securities, Inc., et al.(NASD Arbitration No. 97-05051) Following a contentious arbitration, where the Law Offices of Montgomery G. Griffin was successful in convincing the financial advisor to testify on behalf of the firm’s clients (and against his former brokerage firm), the elderly couple (from […]

Jury Verdict of $765,000 (plus Attorneys’ Fees and Costs) (plus forgiveness of $2 million debt owed to Defendant)

Stephen C. Sharpe v. McDonnell Family Trust, et al.Superior Court for County of Orange Case No. 05CC11767Nature of Case: Breach of contract, fraud Montgomery G. Griffin served in an of-counsel capacity to plaintiff’s (a businessman) counsel of record in a twenty-four (24) day breach of contract and fraud jury trial. At the conclusion, the jury […]

Jury Verdict of $457,960

Tru Le v. Phong Hung TranSuperior Court for County of Orange Case No. 05CC12398 Montgomery G. Griffin served in an of-counsel capacity to plaintiff’s (an entrepreneur and former government official from Vietnam) counsel of record in an eight-day breach of contract jury trial. At the conclusion, the jury awarded the plaintiff $457,960.