Notable Cases

Unsuitable Investment Advice

James R. Herrington v. Merrill Lynch. Pierce Fenner & Smith, Inc. NASD Dispute Resolution No. 05-05529 In this matter, we represented a retired employee of UPS who held over $ 1.8 million in UPS stock that he had acquired over the years under certain employee stock plans.  Upon retirement, Learn More »

Life Insurance Sales Practices

William and Conielyn Abernathy v. New England Securities Corp. et al , CT- 001712-03 (Shelby Co. Cir. Court, Tennessee 2005) In this action our firm represented a middle age couple who had been sold numerous variable whole life insurance policies from New England Life Insurance. Although they Learn More »