Securities Arbitration & Litigation

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Arbitration

Arbitration forums present an opportunity for parties to resolve disputes in an efficient and economical manner outside the court system. Kuglar Law regularly represents parties in proceedings before the Financial Industry Regulatory Authority (FINRA), National Futures Association (NFA), and American Arbitration Association (AAA). Kuglar Law is a member of the Atlanta International Arbitration Society.

Experience

  • Kuglar Law is currently representing various investors in Idaho and Washington who suffered losses investing in various unapproved private investments recommended by their broker/investment advisor. The cases are scheduled for hearing in 2017.
  • Kuglar Law is currently representing Georgia investors who allege their former broker mishandled their retirement accounts. The case is scheduled for hearing in 2017.
  • In 2017, Kuglar Law succeeded in vacating a $1 million arbitration award imposed against a broker in favor of his former firm.
  • FINRA – In 2016, Kuglar Law obtained a confidential settlement on behalf of an individual investor in Atlanta who suffered losses in variable annuity subaccounts.
  • FINRA – In 2016, Kuglar Law obtained a confidential settlement on behalf of individual investors in Texas who suffered losses investing in an oil and gas offering.
  • FINRA – In 2016, Kuglar Law defended a FINRA registered representative in an arbitration hearing in Chicago, Illinois pertaining to investments in REITS.
  • FINRA – In 2015, Kuglar Law defended a broker-dealer in multiple FINRA actions brought by investors in a failed hedge fund. The general partner of the hedge fund allegedly raised in excess of $40 million from investors in Georgia and Florida. The fund failed after suffering massive trading losses.
  • FINRA – In 2014, Kuglar Law secured a defense victory for a New York based broker-dealer accused of negligently supervising its representatives in a “selling away” case after a two week hearing in Atlanta, Georgia.
  • AAA – In 2013, Kuglar Law recovered funds invested by Atlanta-based angel investors in a local technology fund. The angel investors alleged that materials provided prior to their investment were false and misleading. The AAA arbitrator awarded the angel investors the return of their entire investment.
  • FINRA – During 2012 and 2013, Kuglar Law defended a broker-dealer in multiple FINRA actions brought by investors in a failed hedge fund. The general partner of the hedge fund allegedly raised in excess of $40 million from investors in Georgia and Florida. The fund failed after suffering massive trading losses.
  • FINRA – In 2011, Kuglar Law obtained a $3.6 million award against Deutsche Bank on behalf of a former Deutsche Bank broker. The arbitration was heard before a three person arbitration panel in Atlanta, Georgia. The award included $1.6 million in punitive damages.
  • AAA – In 2010, Kuglar Law obtained a multi-million dollar settlement on behalf of clients in a case arising from the repurchase of stock in Atlanta-based private company. Kuglar Law represented the clients in three separate AAA arbitration proceedings and two Georgia Superior Court actions. The firm’s efficient use of technology allowed the team to quickly identify key e-mails at minimal cost.
  • NFA – In 2010, Kuglar Law obtained a $1,850,000 Award on behalf of an Atlanta-based hedge fund against the General Partner of a commodities futures fund in a case tried before the National Futures Association in New York City.
  • FINRA – In 2010, Kuglar Law obtained a $270,000 award on behalf of a New York based broker-dealer against its former registered representative after a five-day hearing in New Orleans.
  • FINRA – Kuglar Law represents a New York based broker-dealer and its registered representatives in multiple FINRA arbitrations/lawsuits across the country.
  • FINRA – Kuglar Law represents individual securities professionals in arbitrations relating to compensation with member firms. These cases involve the repayment of promissory notes and/or promised bonuses.
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