Los Angeles, CA (June 29, 2026):  The Court of Appeal of the State of California, Second Appellate District affirmed a prior million-dollar judgment of the Superior Court of Los Angeles County (Hon. Christopher K. Lui) in favor of aggrieved investor Ronald Inlow, who was represented before the trial and appellate courts by Montgomery G. Griffin […]

In October 2024, Attorney Montgomery Griffin represented an aggrieved investor before the California Superior Court for the County of Los Angeles in a case involving two Southern California-based financial advisors who had been ordered to repay over $1 million by a FINRA arbitration panel following an eight-day arbitration hearing handled by a colleague based in […]

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, […]

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 […]

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, 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. […]

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 […]

Newport Coast Securities, Inc. v. Deborah Scott (FINRA Arbitration No. 11-03419)  After terminating its Chief Compliance Officer (Deborah Scott), Orange County-based brokerage Newport Coast Securities (“NCS”) brought a FINRA arbitration against her, after which she retained the Law Offices of Montgomery G. Griffin. Following the firm’s analysis of the facts and law, the firm filed […]

Ryan P. Romines v. Thomas Gavigan (former Ameriprise broker) (FINRA Arbitration No. 11-00633) Following a lengthy dispute that was eventually decided by a FINRA arbitration Panel in San Francisco after four days of hearings stemming from the purchase of a sizeable book of business at Ameriprise from a departing advisor, the Law Offices of Montgomery […]

W.L. “Cotton” Gray, Sophie Ratkovich, et al. v. Merchant Banking Services, Inc., et al. (NASD Case No. 98-03752) A group of elderly investors represented by Montgomery Griffin before an NASD arbitration Panel alleged securities fraud violations, the recommendation of unsuitable securities, and a failure to diversify their portfolios by two financial advisors and the brokerage […]