Experience Matters
Our Wins
September 16, 2022
Ross Intelisano and his Team Win A $5.2 million FINRA Award for Investors against UBS Regarding Yield Enhancement Strategy (“YES”), the Largest YES Award Ever
September 9, 2022
California and Illinois Courts Confirm $10 Million Award and $9.5 Million Award Against Credit Suisse for Unpaid Deferred Compensation
December 23, 2021
Former Credit Suisse Advisers Win $9.5 Million and $9 Million Awards For Unpaid Deferred Compensation in FINRA Arbitrations
November 14, 2019
Two More Former Credit Suisse Advisers Represented by Lax & Neville LLP Win FINRA Award, New York Labor Law Claims Against Credit Suisse
October 24, 2019
Ross Intelisano and his Team Win A FINRA Award on Behalf of A Former Cantor Fitzgerald Employee for Unpaid Bonuses and Partnership Units
November 21, 2018
Lax & Neville LLP Wins over $1.2 Million and Expungement of Broker Record in Wrongful Termination Suit
November 6, 2018
New York Supreme Court, Commercial Division Denies Credit Suisse’s Petition to Vacate $1 Million FINRA Award for Unpaid Deferred Compensation
October 26, 2017
Lax & Neville Reaches $1.035 Million Settlement on Behalf of Investment-Banking Firm Owed Fees from Pay-Day Lender
September 18, 2017
Lax & Neville LLP Appointed Special Securities Counsel for Court Appointed Receiver
August 15, 2017
Lax & Neville Reaches $1.4 Million Settlement on Behalf of Clients Who Suffered Sales Practice Abuse
December 28, 2016
Lax & Neville Wins Over $500,000 In A Compensation FINRA Dispute
September 8, 2015
Lax & Neville LLP Wins A Monetary Award And Expungement Relief For HSBC Securities (USA) Inc.’s Filing Of A False Form U-5 In A FINRA Arbitration
December 4, 2014
Lax & Neville LLP Wins a FINRA Arbitration Award Granting Expungement Relief to a Former UBS Registered Representative
August 5, 2014
Lax & Neville Successfully Collects over $1.2 Million for Customer of John Thomas Financial and Anastasios Belesis
July 3, 2012
Second Circuit Confirms Record $20.6 Million FINRA Arbitration Award Against Goldman Sachs
May 30, 2012
Kevin Kaiser vs. Raoul’s Restaurant Corp., Cindy Smith et al. – Index No. 112674/2007
November 3, 2011
OBEX Securities, LLC vs. Healthzone Limited – Index No. 10-6876 (SAS)
May 20, 2011
Ilona Meszaros v. Axial International Limited and Saul Marks, 111897/09
March 31, 2011
Scottrade, Inc. v. Broco Investments, Inc., Valery Maltsev, and Genesis Investments, LLC, 10 Civ. 3537 (RJH)
January 14, 2011
Ross Intelisano and his Team Win A FINRA Award on Behalf of Investors Including $100,000 in Punitive Damages
December 29, 2010
Ross Intelisano and his Team Win a $2.8 million FINRA Arbitration Award on Behalf of Renowned Recruiter Jeff Bischoff Against UBS
November 30, 2010
Judge Rakoff of SDNY Confirms Record $20.6 Million FINRA Arbitration Award Against Goldman Sachs
October 20, 2010
David B. Newman v. Family Management Corporation et al.
July 26, 2010
Douglas and Kristin Mirabelli v. Merrill Lynch, Pierce, Fenner & Smith, Inc. – FINRA No. 10-03400
March 30, 2010
Mintz & Gold, LLP v. Zimmerman, 102758/07: Decided March 30, 2010
March 30, 2010
Mintz & Gold, LLP v. Zimmerman, 102758/07: Decided March 30, 2010
June 5, 2009
Madoff Class Action Adv. Pro. No. 09-1265(BRL)
April 24, 2009
JLM Chemicals, Inc. v. Summit Resources Group, Inc. 08 Civ. 10296 Decided: April 24, 2009
February 27, 2008
Ross Intelisano and his Team Win $500,000 FINRA Arbitration Award Against UBS Related to Theft of A Third-Party Investment Advisor
Westminster Securities Corp. v. Petrocom Energy Limited, Petrocom Limited and Howard Au – 11-607
Kevin Kaiser vs. Raoul’s Restaurant Corp., Cindy Smith et al. – Index No. 112674/2007
Santanu Bhattacharya and Gargi Dasgupta vs. Chicago Investment Group LLC and Mitesh Shere
Citigroup Global Markets, Inc. v. Joseph C. Delaura
Claimant v. DEPFA Bank, plc Decided: March 22, 2007
McMahan Securities, Co. L.P. vs. Michael Shillan
Paul Fitzgerald v. Fahnestock & Co., Inc. and Oppenheimer & Co., Inc. NYSE No. 2004-015875
Mitchell Slater v. Merrill Lynch, Pierce, Fenner & Smith. Inc. and Thomas Fickinger NASD # 05-04072
Albert T. Jenks and Irena L. Jenks v. Securities of America, Inc. et. al. NASD No. 03-05007
Gary Farber v. SunTrust Banks, Inc., et.al. NYSE No. 2004-015608
Lucille Banahan v. Wachovia Securities, Inc. NASD No: 04-01979
Kenneth Irving v. Salomon Smith Barney, Michael Lent and William Lent NYSE No. 2002-011137
Simerman v. Salomon Smith Barney, Prudential Securities and Patricia E. Selin NASD No. 02-07640
George C. Grivas v. Kerry J. Dukes, et.al. NASD No. 00-02709
Stanley & Laja Shtupak v. JWGenesis Securities, Inc., et al. NYSE No. 2001-008968
Sven Grasshoff vs. Aaron Etra – Index No. 650832/2012