FRANK J. BIRGFELD - Case History
Legal Consultation and Expert Witness Services Have Been Provided for the Following Cases:
Raymond E. Heck, Claimant
v.
Park Avenue Securities, et al., Respondent
FINRA Arbitration
Engaged: March 2010
Topic: Selling Away
Representation: Claimant
Julie D. Gerowitz, Claimant
v.
Citigroup Global Markets, Inc., et al., Respondent
FINRA Arbitration
Engaged: February 2010
Topic: Suitability of securities recommendations
Representation: Claimant
Empire Financial Group, Inc., Claimant
v.
Penson Financial Services, Inc. et al., Respondent
FINRA Arbitration
Engaged: November, 2009
Topic: Clearing broker-dealer obligation upon regulatory notification of
net capital non-compliance of an introducing firm
Representation: Respondent
Fred Weihich, Claimant
v.
UBS Financial Securities, et al., Respondent
FINRA Arbitration
Engaged: September, 2009
Topic: Suitability of securities recommendations
Representation: Claimant
Robin L. Visocskey, Plaintiff
v.
Hornor, Townsend & Kent, Inc., Defendants
FINRA Arbitration
Engaged: October 2008
Topic: Selling Away
Representation: Defendant
Ray Williard, et al., Claimant
v.
Hornor, Townsend & Kent, Inc., Respondents
FINRA Arbitration
Engaged: October 2008
Topic: Selling Away
Representation: Respondent
Lynn L. Monteverde, et al., Claimant
v.
Hornor, Townsend & Kent, Inc., Respondents
FINRA Arbitration
Engaged: October 2008
Topic: Selling Away
Representation: Respondent
Odeen Manning, et al., Claimant
v.
Hornor, Townsend & Kent, Inc., Respondents
FINRA Arbitration
Engaged: October 2008
Topic: Selling Away
Representation: Respondent
Before the Securities Commissioner, State of Colorado, Complainant
v.
Wunderlich Securities, et al., Respondents
Colorado Securities Commission Revocation Proceeding
Engaged: May, 2009
Topic: Suitability of non-rated CMO’s sold to a Municipality
Representation: Complainant
Linda J. Citro, Claimant
v.
Hornor, Townsend & Kent, Inc., Respondent
FINRA Arbitration
Engaged: October 2008
Topic: Supervision; selling Away
Representation: Respondent
Lynn L. Monteverde, et al., Claimants
v.
Hornor, Townsend & Kent, Inc., Respondent
FINRA Arbitration
Engaged: October 2008
Topic: Supervision; selling Away
Representation: Respondent
Ray B. Willard, et al., Claimants
v.
Hornor, Townsend & Kent, Inc., Respondent
FINRA Arbitration
Engaged: October 2008
Topic: Supervision; selling Away
Representation: Respondent
Robin L. Visocsky, Claimant
v.
Hornor, Townsend & Kent, Inc., Respondent
FINRA Arbitration
Engaged: October 2008
Topic: Supervision; selling Away
Representation: Respondent
Odeen Manning, et al., Claimant
v.
Hornor, Townsend & Kent, Inc., Respondent
FINRA Arbitration
Engaged: October 2008
Topic: Supervision; selling away
Representation: Respondent
Josephine A. Gruenwald, et al., Claimant
v.
Hornor, Townsend & Kent, Inc., Respondent
FINRA Arbitration
Engaged: October 2008
Topic: Supervision; selling away
Representation: Respondent
John Prymak, et al., Plaintiffs
v.
Contemporary Financial Solutions, Inc. and
Mutual Service Corporation, Defendants
NASD Arbitration
Engaged: October 2006
Topic: Selling Away
Representation: Claimants
Pamela White Hadas, Claimant
vs.
Brookstreet Securities Corp., Respondent
NASD Arbitration
Engaged: August, 2006
Topic: Suitability
Representation: Claimant
United States Securities and Exchange Commission, Plaintiff
vs.
SeaLife Corporation, Defendants
US District Court, Colorado, Civil Action No. 05-M-622 (CBS)
Engaged: June 2006
Topic: Stock Manipulation
Representation: Plaintiff
Mark E. Laurnen; Cynthia J. Laurnen, Claimants
v.
Capital Financial Group, Inc; Raymond James Financial Services, Inc.;
Dennis A. Leonida, Respondents
NASD Arbitration
Engaged: June 2006
Topic: Suitability, Private Securities Transactions, Outside Business
Activities, Supervision
Representation: Claimants
Merline C. Leaming, et al. *
v.
Prudential Equity Group, et al.
NASD Arbitration
Engaged: July 2006
Topic: Failure to Execute Transactions; Unauthorized trades
Representation: Plaintiff
William D. Brown
v.
Steven V. Wershay, et al.
Waukesha County Circuit Court, State of Wisconsin
Engaged: June 2006
Topic: Suitability, Private Transactions; Outside Business Activities,
Supervision
Representation: Plaintiff
John Longwell and Mary Ellen Kennedy
v.
Plan Administrator and Trustees of the Prima ESOP and Wells Fargo
District Court, Jefferson County, CO
Engaged: November 2005
Topic: Requirement to Execute a Customer’s Order
Representation: Plaintiff
Marjorie Schultz et al., Claimants
v.
Bruce Reed and Stifel Nicholas & Company, Inc., Respondents
Non-NASD Arbitration
Engaged: September 2005
Topic: Suitability of variable annuity transactions
Representation: Plaintiff
Nicholas C. Hodges, Claimant
v.
Partner Connections, LLC, Respondent
NASD Arbitration
Engaged: October 2006
Topic: Form U-5 Disclosure
Representation: Defendant
Janet Barry, et al.
v.
The Estate of Mary Lou Reifel
Dean Alexander Bordelon and
Royal Alliance Associates, Inc.
NASD Arbitration
Engaged: October 2006
Topic: Selling Away; Securities; Supervision
Representation: Plaintiffs
Patricia Meyer
v.
Steven V. Wershay,
Financial Network Investment Corporation, et al.
Waukesha County Circuit Court, State of Wisconsin
Engaged: September 2006
Topic: Selling Away; Securities; Supervision, Outside Business
Activities, Suitability
Representation: Defendant
First Equity Corporation, et al.
vs.
George Burmann;
GunnAllen Financial, Inc., et al.
US District Court, Eastern District of Michigan, Southern District
Engaged: September 2006
Topic: Various duties of a broker dealer and
registered representative
Representation: Defendant
Mark E. Laurnen; Cynthia J. Laurnen, Claimants
v.
Capital Financial Group, Inc; Raymond James Financial Services, Inc.;
Dennis A. Leonida, Respondents
NASD Arbitration
Engaged: June 2006
Topic: Suitability, Private Securities Transactions, Outside Business
Activities, Supervision
Representation: Claimants
Merline C. Leaming, et al.
v.
Prudential Equity Group, et al.
NASD Arbitration
Engaged: July 2006
Topic: Failure to Execute Transactions; Unauthorized trades
Representation: Plaintiff
William D. Brown
v.
Steven V. Wershay, et al.
Waukesha County Circuit Court, State of Wisconsin
Engaged: June 2006
Topic: Suitability, Private Transactions; Outside Business Activities,
Supervision
Representation: Plaintiff
John Longwell and Mary Ellen Kennedy
v.
Plan Administrator and Trustees of the Prima ESOP and Wells Fargo
District Court, Jefferson County, CO
Engaged: November 2005
Topic: Requirement to Execute a Customer’s Order
Representation: Plaintiff
Stephen M. Budai and Virginia L. Bellows, et al.
v.
Craig L. Freedman; Freedman Financial Group, LLC, Brookstreet Securities
Corporation; and Logan Capital Management, Inc.
NASD Arbitration
Engaged: November 2005
Topic: Suitability of Recommendations to Purchase or Sell
Securities for the Account of the Plaintiff Customers
Representation: Plaintiff
HVS International Capital Corp. LLC
v.
Teton Valley Golf Associates, LP
United States District Court for the District of Colorado
Engaged: October 2005
Topic: Notes as Securities
Representation: Defendants
Richard R. Loucks, et al., Claimants
v.
M. S. Howells & Company, et al., Respondents
NASD Arbitration
Engaged: September 2005
Topic: Relationship of Hedge Fund Customer
Representation: Respondents
Schilling
v.
Salomon Smith Barney & Michael Hood
NASD Arbitration
Engaged: September 2005
Topic: Suitability
Representation: Claimants
Marjorie Schultz et al., Claimants
v.
Bruce Reed and Stifel Nicholas & Company, Inc., Respondents
Non-NASD Arbitration
Engaged: September 2005
Topic: Suitability of variable annuity transactions
Representation: Plaintiff
Winters
v.
Drenth and American Express Financial Advisors, Inc.
NASD Arbitration
Engaged: March, 2005
Topic: Undisclosed conflicts of interest; Suitability; Supervision
Representation: Plaintiff
Ferne and Milton Teper and Laraine Mandel
v.
Mutual Service Corporation and Western International Securities, Inc.
NASD Arbitration
Engaged: January, 2005
Topic: Private Securities Transactions; Supervision
Representation: Defendant
Norman W. Fishman, et al., Claimants
v.
Wachovia Securities, Inc., Respondent
NASD Arbitration
Engaged: November 2004
Topic: Fairness of Buy-Out of Securities
Representation: Respondent
NASD
v.
Janney Motgomery Scott LLC
NASD Disciplinary Proceeding
Engaged: October 2004
Topic: Market Timing, Late Trading, Supervision
Representation: NASD Member Firm
Mohammad Al Nasser, Petitioner
v.
Sands Brothers & Co, Ltd., et al., Defendants
NASD Arbitration
Engaged: August 2004
Topic: Unauthorized trades
Representation: Plaintiff
Delmar and Marilyn Soucie
v.
J.W. Genesis Financial Group, Inc, First Union Securities, and Wachovia Securities
NASD Arbitration
Engaged: October 2004
Topic: Suitability
Representation: Plaintiff
Steven Muth, Cross Claimant,
v.
Kirkpatrick Pettis, Smith, Polian, Inc., Cross Respondent
NASD Arbitration
Engaged: July, 2004
Topic: Firm’s Responsibility to Preclude a Representative’s Illegal Conduct
Representation: Cross Respondent
Marcelle Schwartzstein, et al., Plaintiff
v.
Berlind Securities Inc., Defendant
Superior Court, Hartford, Connecticut
Engaged: June, 2004
Topic: Commission tied remuneration to a non-registered vendor
Representation: Plaintiff
Gene C. Geiger
v.
Golden Eagle International, Inc. and Ronald A. Knittle
Denver District Court
Engaged: June, 2004
Topic: Likelihood of a Statutorily Disqualified Person Finding Future
Employment in the Securities Industry
Representation: Plaintiff
United States Securities and Exchange Commission, Plaintiff
v.
Donald Rutledge and Gregory Skufca, Defendants
United States District Court for the District of Colorado
Engaged: April 2004
Topic: Stock Manipulation
Representation: Plaintiff
Eleanor S. Rives, Ann C. Stringe and Susan P. Stevens, as surviving trustees of the Kenneth P. Rives Trust and of the Eleanor S. Rives Trust, Claimants
v.
Prudential Securities, Inc., David L. Farrington and Thomas v. Hart, Respondents
NASD Arbitration
Engaged: April 2004
Topic: Market Timing, Late Trading, Supervision
Representation: Claimants
Richard Rader, Claimant
v.
Oscar Gruss & Sons, Inc. and Broadband, Respondent
NASD Arbitration
Engaged: March, 2004
Topic: High pressure sales tactics, unsuitable recommendations, unregistered salesmen
Representation: Claimant
Robert Allen, Claimant
v.
Oscar Gruss & Sons, Inc. and Broadband, Respondent
NASD Arbitration
Engaged: March, 2004
Topic: High pressure sales tactics, unsuitable recommendations, unregistered salesmen
Representation: Claimant
Robert A. Voydat and Rhonda L. Voydat, Claimants
v.
Merrill Lynch, Pierce Finner & Smith, Inc., David L. Kopp, Jodi T. Rolland, Edward G. Schrandt, Respondents
NASD Arbitration
Engaged: April, 2004
Topic: Appropriateness of margin strategy for Protection of customer account position
Representation: Claimant
Eleanor S. Rives, Ann C. Stringe and Susan P. Stevens, as surviving trustees of the Kenneth P. Rives Trust and of the Eleanor S. Rives Trust, Claimants v. Prudential Securities, Inc., David L. Farrington and Thomas
v.
Hart, Respondents
NASD Arbitration
Engaged: April, 2004
Topic: Suitability
Representation: Claimant
Margaret Hart, Executrix, Plaintiff,
v.
Multi-Financial Securities Corporation, Defendant
NASD Arbitration
Engaged: December, 2003
Topic: Suitability, Supervision
Representation: Defendant
v.
Michael and Sharon Hinton d/b/a Hinton and Associates, et al., Defendants
District Court of Bowie County, Texas
Engaged: November, 2003
Topic: Suitability
Representation: Defendants
Thomas Urban, Claimant
v.
Capital Planning, et al., Respondents
NASD Arbitration
Engaged: October, 2003
Topic: Suitability
Representation: Respondents
Jeffrey L. Vossler and Sally D. Vossler, Claimants
v.
Craig A. Arfsten and Salomon Smith Barney, Inc., Respondents
NASD Arbitration
Engaged: September 2003
Topic: Suitability
Representation: Claimants
Gary Erickson, Claimant
v.
Linsco/Private Ledger Corp. and Michael Zolondek, Respondents
NASD Arbitration
Engaged: August 2003
Topic: Suitability
Representation: Claimant
John M. Tober, Claimant
v.
Christopher L. Phillips and Phillips & Tober, Inc., Respondents
AAA Arbitration
Engaged: September 2003
Topic: Statutory Disqualification
Representation: Respondents
John and Marilyn Boyle, Claimants
v.
David Heck, the Heck Group, and Salomon Smith Barney, Respondents
NASD Arbitration
Engaged: September 2003
Topic: Suitability
Representation: Claimants
William Pinard, Bill Tubbs, Claude Glidden, John Austin, Schuyler Nash, Robert J. Cassidy, Virginia Bessom, John Mally, Don Ina, Jason Pinard, James Fitz, Charles Vanzant, Diane Boor, Darrell Bronkin, Al Belsky, Dennis Sullivan, Estate of Felix Marek, Wayne Phillip Warner, W. Douglas Moreland, James Enrico, Helen Biamonte, Charles W. Hughes and Larry Rowe, Claimants
v.
Kirkpatrick, Pettis, Smith, Polian, Inc., KFS Corporation, Mutual of Omaha Insurance Company, Smith Hayes Financial Services Corporation, and John Does 1-5.
NASD Arbitration
Engaged: July, 2003
Topic: Suitability of a broker’s recommendations. Possible illegal stock
trading. Misrepresentation. Broker/dealer supervision.
Representation: Claimants
Diane M. Boor, Claimant
v.
Kirkpatrick, Pettis, Smith, Polian, Inc. and Steven E. Muth, Respondents
NASD Arbitration
Engaged: July, 2003
Topic: Suitability of a broker’s recommendation. Possible illegal stock trading. Misrepresentation. Broker/dealer supervision.
Representation: Claimant
Earl D. Balden, Claimant
v.
Prudential Securities, Inc. and James Patrick Doran, Respondents
NASD Arbitration
Engaged: July, 2003
Topic: Suitability of stock and options recommendations.
Representation: Claimant
Kevin Ord; Ord, Inc.; D&J Trust; and Dan Liebig, Trustee, Plaintiffs
v.
AM First Investment Services; AM First Bank; Kent Carter; Van Korell; Aragon Financial Services; DFS Secured Healthcare Receivables Trusts II and IV; DFS Credit Corporation; Dynacorp Financial Strategies; Robert Vener; Bank of New York Western Trust Company; Chiao, Smith & Associates; and Buchanan, Anderson and Pratt, Defendants.
District Court of Red Willow County, Nebraska
Engaged: July, 2003
Topic: Suitability of notes sold to retail customer by a “bank lobby” registered
representative and the liability of the bank from which he operated.
Representation: Plaintiff
Boggs, Claimant
v.
Multi-Financial Securities Corporation, et al., Respondents
NASD Arbitration
Engaged: June, 2003
Topic: Suitability of notes sold by registered representative; Selling Away;
Supervision
Representation: Claimant
Zane Mars, individually, and Eric B. Lake,
as Trustee of the Zane A. Mars Trust, Claimants
v.
Royal Alliance, Inc., Lou R. Mortellaro; Investment
Developers, Inc, d/b/a Lou Mortellaro & Company, Inc.;
Michael M. Katz, and Katz, Look & Moison, P.C., a
Colorado Professional Corporation, Respondents
NASD Arbitration
Engaged: June, 2003
Topic: Appropriateness of Trustee’s Actions
Representation: Respondents
World Marketing Corporation, Profit S.P., Claimant
v.
Market Wise Securities, LLC, MWSI Holdings, Inc., Terra Nova Trading, LLC,
David S. Nassar, Thomas McCafferty, Kevin Ward, and Henry W. Thurston IV,
Respondents
NASD Arbitration
Engaged: January, 2003
Topic: Suitability of Day-Trading as Effected by an Unregistered Person
Representation: Claimant
Sterling Finance Management L.P., Plaintiff
v.
Paine Webber, Incorporated, and Robert S. West, Defendants
Circuit Court of Cook County, Illinois
Engaged: September, 2002
Topic: Suitability of CMO Residual Securities
Representation: Plaintiff
United States Securities and Exchange Commission, Plaintiff
v.
Max C. Tanner, Dennis Evans, Mark A. Taylor, Sr., Kevin Kirkpatrick, Kenneth Kurtz, Kevin J. Ruggiero, Michael Boston, Alex Sheyfer, and Alexander Zalmenenko, Defendants
U.S. District Court, Southern District of New York
Engaged: July, 2002
Topic: Stock Manipulation
Representation: Plaintiff
United States of America, Plaintiff
v.
Meyer Blinder, Defendant
U.S. District Court for the District of Nevada
Engaged: 1991
Topic: Stock Manipulation
Representation: Plaintiff
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