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August 4th, 2006
Wall Street Journal Thinks Firm's $22 Million Arbitration Award Worth Repeating
In May, 2006, we won a $22,000,000 award from an NASD arbitration panel against Securities America, Inc. and it's broker on behalf of thirty-two Exxon Mobil Corp. retirees. The Wall Street Journal has again highlighted the arbitration, which is one of the largest of its kind. This time, the case was discussed in the larger context of problems that can arise when people approaching retirement age rely on bad financial advice from their broker. The case was first mentioned in the May 17, 2006 edition of the Journal and in media reports that appeared in many papers around the country. Jim Swanson and Joe Peiffer led the firm team that handled this case. Esmond Phelps, Lori Mince and Lance McCardle also assisted in the preparation of this case. Staff members Bonnie Jones, Vickie Carpenter and Deb Stoddard provided critical support.
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