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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.
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 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 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.
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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