CASE STUDIES AND SUCCESSES
In re: C.B.J.
Mr. May defended his client from a disciplinary case brought by the NASD alleging violations of its Code of Conduct. In this matter, he was able to achieve a remarkable result for a client charged with malfeasance by the NASD. The NASD's Enforcement Staff sought a life-time ban and refused his client's good faith offers of settlement. At hearing, Mr. May's defense resulted in his client receiving a mere letter of caution from the Panel!
Minhaki v. TRS
When we received an arbitration claim from an upset investor of another firm that executed trades through us and it was for more than 10 million dollars was very concerned. Even worse, Claimant's counsel was the attorney a well known Manhattan attorney who originally brought suit against Merrill Lynch and Henry Blodgett.
Andrew skillfully persuaded the NASD to not hear it because the Claimant was not a customer of ours. He then filed suit in federal court seeking a declaratory judgment that we need not arbitrate this dispute just because we were an NASD member. The other side tried to transfer the case to New York and have it dismissed but Andrew's skillful brief convinced the judge to rule in our favor. After that, we were able to settle for a pittance!
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