Securities Arbitration Attorneys Eppenstein & Eppenstein
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Telephone: (212) 679-6000
Fax: (212) 759-3122
Securities Arbitration Attorneys in New York City NY Recover Losses for Investors Defrauded by Stock Brokers
Securties Arbitration Lawyers in New York Protect Investors from Financial Fraud & Abuse
Securities Arbitration Lawyer for Investors Who Have Suffered Losses Due to Stock Broker Fraud
Securities Arbitration Attorneys & Commodities Arbitration Attorney in New York NY Represent International & Domestic Investors
Securities Arbitration Attorney at Eppenstein & Eppenstein in NYC NY Represent International Investors in US Stock Market Fraud Cases

Securities Arbitration Lawyers

Securities arbitration is a primary focus of our legal practice representing investors who have been defrauded or otherwise harmed by misconduct in the financial services industry. Investment and securities fraud cons and scams are all too common, and undermine the confidence of investors in the integrity of the financial markets. We have helped many such investors, from high net worth businessmen to retirees, recover losses they have suffered as a result of unscrupulous and fraudulent schemes.

Aggressive and Successful Assistance in Recovering Your Losses

Our Mission–to provide investors with the aggressive, dynamic and creative strategies we have developed that are the foundation for large settlements–is reflected in our winning results in numerous securities arbitration and commodities arbitration cases. In 2001 alone, while the total of awards at the NASD was reported at about $120 million, just one single group of our firm’s clients were awarded over $42 million. After we won challenges to these historic awards, our firm collected for our clients over $46 million. We don’t just try to make our clients whole–in many cases we have surpassed out of pocket parameters and achieved record breaking recoveries for them. Contact the Securites Arbitration Attorneys at Eppenstein & Eppenstein to discuss your securities or commodities case.

Securities Arbitration Attorney Results

Every client of ours who won an award got paid. Every client of ours who achieved a settlement got paid. No award or settlement went unrecovered.

At Eppenstein and Eppenstein, Attorneys at Law, our experienced New York Securities Arbitration Lawyers are dedicated to helping investors--from individuals to institutional investors and pension funds--recover their assets lost through all types of investment fraud and broker misconduct, including securities fraud, commodities fraud, hedge fund and mutual fund mismanagement, insurance fraud and related accounting misconduct, and other misconduct by brokers, banks, financial advisors and other investment professionals.

Our experience sets us apart from the field of attorneys who claim to be Securities Arbitration Attorneys. When the U.S. Congress called on us almost twenty years ago, we delivered testimony to two congressional sub-committees and we helped draft legislation to make the dispute resolution system better for investors. Again in October 2007, Ted Eppenstein testified in the House Subcommittee on Administrative and Commercial Law in support of the "Arbitration Fairness Act of 2007" and a ban on mandatory arbitration for securities disputes.

Hedge Fund Fraud

Hedge fund failures represent some of the more extreme cases of investment firm misconduct-with the potential to harm both the investing public and the integrity of the capital markets. Long-Term Capital Management is one of the more spectacular examples, reported to have lost over $4.5 billion in only a few months in 1998. Amaranth LLC collapsed in the fall of 2006, losing over $6 billion in the high stakes energy markets.

Other high profile hedge fund failures have proliferated in this thinly regulated investment vehicle, as illustrated by spectacular investor losses at Atlanta’s International Management Associates, Connecticut-based Bayou Management, San Francisco-based Woods River Capital Management, and Man Group Plc’s alleged connection to the collapse of Philadelphia Alternative Asset Management Co. (PAAMCo), to name just a few. Contact our Hedge Fund Fraud Attorneys at Eppenstein & Eppenstein to discuss your arbitration options.

Tax Shelter Fraud

Tax shelter and other investment improprieties allegedly involved KPMG, Deutsche Bank and Ernst & Young; the alleged accounting debacle at insurance giant AIG; bid-rigging allegations against Marsh & McLennan; the $1.4 billion settlement of conflict of interest in equity research analysis involving investment banking and brokerage divisions at some of the world’s largest banks and broker dealers such as Merrill Lynch, Goldman Sachs and Lehman Brothers; and the agreement by J.P. Morgan to pay $2.2 billion to Enron’s investors for the bank’s role in one of several accounting scandals that shook the investment industry. Contact our Tax Shelter Fraud Lawyers at Eppenstein & Eppenstein to discuss your case.

Auction-Rate Securities:

Call us to determine your course of action regarding this and other investment losses.

The failure of the Auction-Rate Securities market has been a wake-up call for investors who believed these investments were as safe as money market funds. Instead, these are long-term investments (muni bonds, corporate bonds or preferred stocks, with interest rates or dividend yields that are periodically re-set via Dutch auctions) that behave like short-term debt. Some investors were led to believe their auction-rate investments were safe and liquid, only now that the auction market is frozen they can’t get to their funds. Aside from such misrepresentations of risk, the securities may also have been unsuitable for some investors. Investors have been contacting us to determine a course of action at this time of uncertainty over the future of this market. We can be reached at 212-679-6000 to discuss your individual situation.


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Securities Arbitration Attorneys for Stock Market Fraud
Securities Arbitration Lawyers for Investor Fraud Financial Recovery through Arbitration

Eppenstein & Eppenstein

Notable Arbitration

The Firm Wins Record Arbitration Decision in 2001
Against Refco Inc.

In 2001, the Firm obtained record-setting arbitration decisions when we proved investment fraud claims and won a recovery for investors totaling over $42 million from Refco Inc . The arbitrators at the National Futures Association found that Refco "violated the anti-fraud provisions of the Commodity Exchange Act and Regulations thereunder." Refco was ultimately responsible for paying all awards to our clients, as well as being held "solely liable for the punitive damage portion" awarded to some of the investors. After two court decisions, the awards were confirmed at over $46 million, including the punitive damages and additional interest. The entire award was collected. To read more click here - Refco's Collapse and Its Aftermath.

$16,000,000 Million Plus: According to the Wall Street Journal, this was the largest arbitration award to a public investor, and many millions beyond out of pocket loss. Every penny was collected for this retired client from California. In the process our lawyers beat two mega defense firms.

Securities Arbitration Lawyer Legal Services for Investors Defrauded by Stock Broker
Securities Arbitration Attorneys in New York Broker & Financial Fraud Lawyers
A History of Leadership in
Landmark Cases
and Public Service

Here are just some of the positive results we have achieved:

$8,000,000 Million Plus:
We represented a retailer/manufacturer from Missouri, represented by the family’s baby boomer head, who recovered close to $9 million including a punitive damage award. The case was consolidated for trial with 12 other investors whose combined recovery topped $46 million, a record for recoveries in NFA arbitration.

$6,000,000 Million Plus: A New York family from Long Island also prevailed on a finding of fraud and collected almost $7 million. We took over the case from other attorneys as it was foundering in a California court. This was the first client of a group of 13 investors who also found justice in arbitration.

$5,000,000 Million Plus: One of our string of successful cases for our global clientele, this multi-national businessman as reported by the New York Times set a record in the mid-1990's for the largest settlement ever reported in a case venued at the NYSE.

Contact us to discuss your case.

Securities Arbitration Attorney for  International Investors Fraud in US Stock Market
Prior Results Do Not Guarantee a Similar Outcome.

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