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Case Results: Securities

Below is a list of some of the cases the firm has handled, not a complete list, and is not a guaranty of future results.

MacPherson v. Donaldson, Lufkin & Jenrette Securities Corporation
In 1987, Mr. Klein sued Wall Street securities firm Donaldson, Lufkin & Jenrette Securities Corporation (“DLJ”) on behalf of an investor whose account was wrongfully liquidated by the securities company. DLJ countersued the investor for over $1 million, alleging securities fraud and a variety of other causes of action. Mr. Klein received summary judgment on most of the security company’s causes of action and, at trial, received a defense verdict on DLJ’s remaining causes of action. The jury awarded the investor approximately $200,000 , representing the value of the wrongfully liquidated account.

Krogh v. Donaldson, Lufkin & Jenrette Securities Corporation
Mr. Klein represented two investors who sued their securities broker for wrongful liquidation of their accounts. After completion of discovery, Mr. Klein received a substantial settlement on behalf of his clients.

Pellizzon v. Fidelity Investments
(Plaintiff Verdict)
Mr. Klein represented a securities investor whose orders were not executed properly. Mr. Klein prevailed in arbitration and the client was awarded all the money he requested.