Case Results

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FINRA Arbitration Awards and Litigation Results

The majority of arbitrated cases are settled amicably between claimant and respondent under confidentiality and non-disclosure agreements. In fact, most of the best cases end in settlement. Over the years Ms. Malecki has recovered tens of millions of dollars for clients, including multi-million dollar settlements in several categories: securities arbitration and litigations, employment arbitrations, business disputes, and tax shelter fraud cases. This success further extends to more public proceedings, in which arbitrator rulings have been published within the archives of FINRA’s Arbitration Awards.

SETTLEMENTS AND AWARDS
INVESTOR RECOVERY
  • $7,200,000: in settlements for a real estate based Ponzi scheme
  • $2,000,000: in settlement for a group of high net worth hedge fund investors
  • $3,900,000: million recovered for improperly recommended tax shelter fraud investments
  • $2,100,000: million against a major financial institution & stock transfer company for failure to sell previous restricted stock for an Italian national
  • $1,150,000: Rodney Beck (deceased), Rodney R. Beck Living Trust d 12-05-04, Stacey Beck, and Stacey Beck Living Trust dtd 12-05-94, Claimants vs. Investacorp, Inc., Investacorp Advisory Services, and William C. Artmann, Respondents; 12/4/07.
  • $1,000,000: in settlements for a group of ethnicity fraud Ponzi scheme investor victims
  • $805,110: Duckkyu Chang, Kee Chang, et al. (Claimant) vs. McGinn, Smith & Co., Inc., Timothy M. McGinn, David Smith, et al (Respondents); 12/31/09.
  • $630,357: Michael Steifman (Claimant) vs. Merrill Lynch Pierce Fenner & Smith Inc. (Respondent); 10/09/2012.
  • $475,375: Joseph and Tomas Sollitto, Claimants vs. Global Capital Securities, Corp., Respondent; 12/23/03.
  • $467,000: Robert Ferrucci (Claimant) vs. McLaughlin, Piven, Vogel Securities, Inc., and Laurence T. Tulenko (Respondents); 9/14/06.
  • $152,494: Bart Delgado Sabal (Claimant) vs. Sky Capital, LLC and Michael Passaro (Respondents); 6/26/07.
  • $132,315: David Kast & K.P.M., Inc. (Claimants) vs. Greenway Capital Corporation / Dominick DeLorenzo / Barry Morton Ferrari / Joseph M. Guccione / Fred Luthy (Respondents); 6/26/98.
EMPLOYMENT CASES
  • $2,500,000: settlement in Municipal Securities Industry compensation & Sexual Harassment claim
  • $2,000,000: recovered for a Whistleblowing trader against former employer
  • $500,000: settlement for a Sarbanes Oxley Analyst Whistleblower Employee
  • Expungement: Gregg D. Templeton vs. Morgan Stanley DW, Inc.; 2/01/08. Registered Representative Claimant against his former employer alleging defamation by maliciously amending Claimant's U-4 form, breach of contract, constructive discharge, breach of fiduciary duty, interference with economic relations and breaches of the implied covenant of good faith and fair dealing. Claimant ‘s record was ultimately expunged.
  • $47,223.13: Counterclaim Award and Expungement: Wachovia Securities, LLC (Claimant) vs. Haran Brucker (Respondent); 8/19/08. Claimant asserted the following causes of action: nonpayment of promissory note. In his Counterclaims, Respondent asserted the following causes of action: defamation, breach of fiduciary duty, interference with economic relations, and breach of express and implied contract, breach of implied covenant of good faith and fair dealing, and conversion. He was awarded an expungement and his actual attorney’s fees.
  • $125,000: Michael M. Kownacki v. Morgan Stanley DW Inc; 6/04/07.
  • $80,600: Janeice Hunt-Schmidt, (Claimant) vs. David Lerner and David Lerner Associates, Inc. (Respondents); 7/11/02.