Joan Jeffrey v. Citigroup Global Markets (formerly known as Salomon Smith Barney) (FINRA Arbitration No. 06-01388) The Law Offices of Montgomery G. Griffin’s client, a retired woman from the Sacramento area, brought an arbitration against Citigroup Global Markets, Inc. (“CGMI” or “Citigroup”) alleging that Citigroup’s financial advisor had defrauded her, failed to construct a suitable […]

Patrick Van Hien v. PCBB Capital Markets, LLC (FINRA Arbitration No. 13-00429) Following an arbitration hearing, a Los Angeles FINRA Panel issued an Award recommending the expungement of language on the Law Offices of Montgomery G. Griffin’s client’s Form U-5 at two broker-dealers, Fidelity Brokerage Services and PCBB Capital Markets. The Award specified that the […]

UBS Financial Services, Inc. v. James S. Cave (FINRA Arbitration No. 10-05701) A San Francisco FINRA Panel reduced the amount sought by UBS against the Law Offices of Montgomery G. Griffin’s client, a former broker, by over 50% following a three-day FINRA arbitration hearing. The Panel also stated in its Award that the firm’s client […]

W.L. “Cotton” Gray, Sophie Ratkovich, et al. v. Merchant Banking Services, Inc., et al. (NASD Case No. 98-03752). A group of investors represented by Montgomery Griffin consisting of retired senior citizens (including a widow from Walnut Creek in the Bay Area, a former law enforcement officer in Los Alamitos, a couple in Santa Cruz, and […]

Herman Pettegrove v. Safeco InsuranceSuperior Court for the County of Los Angeles (Case No. NC051344) The Law Offices of Montgomery G. Griffin’s client in this case was a longtime lawyer and tax advisor in Los Angeles.  After his negligence case was turned down by a Los Angeles-based law firm, the Law Offices of Montgomery G. […]

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 […]

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 […]

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 […]

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 […]

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.