Breiman v. Round Hill Securities, Inc. et. al. ⇒ $1.44 million

The Law Offices of Cary S. Lapidus obtained an arbitration award of $1.44 million on behalf of clients who alleged fraud, breach of fiduciary duty and misrepresentations in connection with their securities portfolio.

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“Cary Lapidus is probably the most well prepared attorney with whom I have ever dealt. He has excellent judgment and understanding of the law. Most important of all, he is highly ethical and those who deal with him know that his word is his bond.“
Paul Dubow
Opposing Counsel & Mediator in Six Cases

Cary S. Lapidus

Cary S. Lapidus is an inactive California attorney whose former practice was concentrated in investment cases and securities arbitration.

Mr. Lapidus was a staff attorney with the U.S. Securities & Exchange Commission's Division of Enforcement and Division of Market Regulation from 1982 to 1986, where he prosecuted cases involving broker-dealer abuses, market manipulation, management and financial reporting fraud, ponzi schemes, and insider trading.

Since entering private practice in 1986, he has represented numerous investors in American Arbitration Association, Pacific Stock Exchange and NASD arbitrations against most of the nation's major securities brokerage firms in matters involving market manipulation, churning, unsuitable recommendations, employee stock options, unauthorized trades, and misrepresentations and omissions of material facts… obtaining settlements, awards and judgments on their behalf.

in the news

from Bloomberg Businessweek
Stanford Professor Stung By Fund Wins $2.2 Million
A First Republic Bank unit was ordered to pay a retired Stanford University professor and his wife $2.18 million after arbitrators found the firm gave them only a 'fleeting and slapdash' explanation of a municipal bond fund that imploded during the credit crisis in 2008.
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The information on this website is for general information purposes only. Nothing on this or assoicated pages, documents, comments, answers, emails, or other communications should be taken as legal advice for any individual case or situation. This information on this website is not intended to create, and receipt or viewing of this information does not constitute, and attorney-client relationship. Cary S. Lapidus is an inactive member of the California State Bar and does not render legal advice nor provide legal services of any kind.