Our Wins

April 3, 2024
Client Represented by Lax & Neville LLP Wins $2.6MM Award Against E1 Asset Management, Inc., Shaun Joseph Grimaldi, and Ron Yehuda Itin

October 24, 2023
Ross Intelisano and his Team Win A $3.2 million FINRA Award on Behalf of A Private Equity Executive Against UBS Regarding Yield Enhancement Strategy (“YES”)

August 21, 2023
Client Represented by Lax & Neville Wins $1.8MM Award Against Morgan Stanley for Unsuitability and Failure to Supervise Investment in WisdomTree (WETF)

April 20, 2023
Lax & Neville has Won More Than $35 Million for Former Credit Suisse Advisers Seeking Deferred Compensation in FINRA Arbitrations

April 18, 2023
Four More Former Credit Suisse Advisers Represented by Lax & Neville LLP Win FINRA Arbitration Award Against Credit Suisse Securities (USA) LLC in the Deferred Compensation Arbitrations

February 2, 2023
Another Former Credit Suisse Adviser Represented by Lax & Neville LLP Wins a FINRA Arbitration Award Against Credit Suisse Securities (USA) LLC in the Deferred Compensation Arbitrations

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

April 23, 2020
New York Appellate Court Unanimously Affirms Confirmation of Former Adviser’s $1 Million FINRA Arbitration Award Against Credit Suisse

February 14, 2020
Lax & Neville Has Won More Than $13 Million For Former Credit Suisse Advisers Seeking Deferred Compensation In FINRA Arbitrations, Including A Recent Award To Four Advisers For $2.3 Million

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

September 5, 2019
Ross Intelisano and his Team Win Over $3 million in Deferred Compensation Claim for Former Credit Suisse Advisors, Including Interest, Attorneys’ Fees and Costs

July 31, 2019
Lax & Neville is Successful in Defending a Hedge Fund’s Motion for Summary Judgment That Sought to Dismiss a Managing Director’s Claims, Including for Liquidated Damages, Prejudgment Interest, and Attorneys’ Fees

May 7, 2019
Two More Former Credit Suisse Advisers Represented by Lax & Neville LLP Win FINRA Award, New York Labor Law Claims Against Credit Suisse

March 4, 2019
Ross Intelisano and his Team Win A $3.2 million FINRA Claim on Behalf of A Former Credit Suisse Advisor For Severance, Deferred Compensation and Bonus

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

November 6, 2018
Another Former Credit Suisse Adviser Represented by Lax & Neville LLP Wins a FINRA Arbitration Award Against Credit Suisse Securities (USA) LLC in the Deferred Compensation Arbitrations

October 10, 2018
Former Credit Suisse Adviser Represented By Lax & Neville LLP Wins First FINRA Arbitration Award Against Credit Suisse Securities (USA) LLC in the Deferred Compensation Arbitrations

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

June 7, 2016
Ross Intelisano and his Team Win A $10 million FINRA Claim on Behalf of An Estate Against Clearing Firm C.L. King

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

June 26, 2015
Lax & Neville LLP Wins A $16.6 Million Award In A FINRA Arbitration On Behalf Of Two Retail Investors, Through Ontonimo (OMO) Limited, Against BNP Paribas Securities Corp

April 28, 2015
Lax & Neville LLP Wins Arbitration Award Against Investment Advisory Firm SICA Wealth Management and Investment Advisor Jeffrey Sica For Breach Of Fiduciary Duty

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 Wins $900,000 FINRA Arbitration, Including Punitive Damages, Against John Thomas Financial, Anastasios Belesis, George Belesis and Joseph Castellano For Churning And Failure To Supervise

August 5, 2014
Lax & Neville Successfully Collects over $1.2 Million for Customer of John Thomas Financial and Anastasios Belesis

August 23, 2012
Lax & Neville Win $263,219 FINRA Arbitration Award Brought By Current Morgan Stanley Smith Barney Employees For Payment Of Their Back-End Bonuses

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)

June 23, 2011
John J. Baker, Natalie N. Baker and John Baker, as Personal Representative of the Estate of Harriet B. Baker vs. Merrill Lynch Pierce, Fenner & Smith, Incorporated – Index No. 11-108492

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

June 24, 2010
Ross Intelisano and his Team Win $20.6 Million FINRA Arbitration Award Against Goldman Sachs, the Largest Award Ever Against the Firm

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

December 23, 2009
Ross Intelisano and his Team Win a $3.4 Million FINRA Arbitration Award on Behalf of Racetrac Petroleum Against Bear Stearns related to the High-Grade Structured Credit Strategies Hedge Funds, the First and Only Victory by Any High-Grade Investor

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

Westminster Securities Corp. v. Petrocom Energy Limited, Petrocom Limited and Howard Au – 10 Civ. 7893 (DLC)

John J. Baker, Natalie N. Baker and Harriet B. Baker v. Merrill Lynch, Pierce, Fenner & Smith, Inc. – FINRA No. 09-06762

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

Frank H. Suits, Jr. et al. vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Michael Keefe Gorman NYSE No. 2006-016588

United States ex rel. John Glover v. Federation of Protestant Welfare Agencies, No. 05-CV-6522 (S.D.N.Y. Dec. 5, 2008) (oral opinion)

Westminster Securities Corp. and John O’Shea vs. HQ Sustainable Maritime Industries, Inc. AAA No. 13 199 Y 00334 06

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

Lax & Neville Achieved a $2.7 Settlement on Behalf of a Managing Director in an Employment Compensation Dispute

Clair R. Couturier, Jr. vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Phil Scott Group, et al FINRA Dispute Resolution No. 11-00867

Additional Settlements