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In the News

Investment News

Despite a $5.2M YES arb loss, its biggest yet, UBS may keep fighting - September 26, 2022


Financial Advisor

FINRA Orders UBS To Pay $5M In Biggest Award Yet For Options Strategy Losses - September 21, 2022


Barrons

Retired Couple Wins $5.2 Million Award From UBS Over YES Strategy - September 19, 2022


Law360

US Bank Funds Avoid $25M Bond Fraud Suit with Settlement - September 17, 2020


Law360

US Bank Must Face $25M Bond Fraud Claims At Trial - June 11, 2020


On Wall Street

Advisors win $2.5M deferred comp case against Credit Suisse - September 9, 2019


Advisor Hub

Ex-Credit Suisse Trio Wins $3 Million in Deferred Comp Arbitration - September 9, 2019


Investment News

FINRA arbitrators award more than $3 million to three former Credit Suisse brokers - September 6, 2019


Wall Street Journal

When New Investor-Protection Rules Come Up Short, States Step In - September 6, 2019


On Wall Street

Ex-Morgan Stanley advisor sent thank you cards to clients. Now he's in legal trouble - July 11, 2019


On Wall Street

Advisors bolt, Morgan Stanley sues. Is this the 'new normal'? - June 13, 2019


Financial Planning

Morgan claims $280M advisors violated non-solicit. Judge doesn’t buy it. - March 28, 2019


The New York Times

Regulator Seeks Information About Goldman Sachs Ethics Complaint - October 23, 2018


On Wall Street

Morgan’s protocol exit was ‘bait-and-switch,’ $660M team says in lawsuit - September 25, 2018


Advisor Hub

Big Brokers Rebuild After Compliance Flaps at Goldman, Morgan Stanley - September 24, 2018


On Wall Street

Advisors test new strategy to duck arbitration losses. Will it work? - August 7, 2018


On Wall Street

Is UBS following Morgan Stanley in post-protocol litigation? - March 6, 2018


On Wall Street

How Morgan Stanley’s ex-broker lawsuits could backfire - February 27, 2018


On Wall Street

In bitter dispute, Credit Suisse fights class-action suit by former brokers - February 13, 2018


On Wall Street

A safe post-protocol landing? Advisor quits UBS for Raymond James - February 2, 2018


Financial Planning

Client complaints: 'I’ve seen things get bad' - December 29, 2017


AdvisorHub

Broker Sued by Morgan Stanley: I Found My Clients by Myself - December 13, 2017


Wall Street Journal

Merrill Lynch Says It Will Remain in Broker Recruiting Pact - December 4, 2017


Financial Planning

Broker Protocol FAQ: Who's out, who's next and what advisors may lose - November 30, 2017


Wall Street Journal

WSJ Wealth Adviser Briefing: UBS’s Broker Protocol Exit, Adviser Voice on ‘Gray Divorces’ - November 28, 2017


On Wall Street

Morgan Stanley exits Broker Protocol — will others follow? - October 30, 2017


AdvisorHub

Morgan Stanley to Pull Out of Recruiting Pact with Rival Firms - October 30, 2017


Law360

Pension Funds Sue US Bank For $25M Tribal Bond Fraud Loss - August 23, 2017


On Wall Street

In UBS-RIA Spat, a Warning for Advisors Switching Firms - August 3, 2017


The Wall Street Journal

FINRA’s 2017 Priorities: Monitoring High-Risk Brokers and Protecting Seniors - January 4, 2017


Financial Planning

Ex-RIA owner loses $13M arbitration to broker-dealer C.L. King - December 6, 2016


On Wall Street

Did the Fiduciary Rule Just Kill Huge Recruiting Bonuses? - October 27, 2016


AdvisorHUB

Arbitration Panel Turns the Tables on Merrill Lynch - October 11, 2016


On Wall Street

Advisers' arbitration rights reaffirmed in comp spat with Credit Suisse - September 12, 2016


On Wall Street

Did FINRA just open the floodgates to millions in claims against Credit Suisse? - July 22, 2016


Financial Planning

Client’s estate wins $10M arbitration against clearing firm C.L. King - June 10, 2016


Wall Street Journal

Securities Firm Ordered to Pay $10 Million for Investor Losses - June 9, 2016


FundFire

Eaton Vance Sues Advisors Who Jumped to Morgan Stanley - March 31, 2016


On Wall Street

What's in the Pipeline? - March 2016


NY Times

Finra Begins a Review of Brokerage Firm Culture - February 23, 2016


CNBC

The second coming of Steven Cohen - January 11, 2016


DealBook

In Insider Trading Settlement, Steven Cohen Will Be Free to Manage Outside Money in 2 Years - January 8, 2016


Wall Street Journal

Finra to Examine Brokerage Firm Culture - January 5, 2016


Wall Street Journal

Credit Suisse Claims UBS Raided Staff - December 21, 2015


On Wall Street

UBS Recruiting Ignites Raiding Claim, Spoils Credit Suisse-Wells Fargo Deal - December 17, 2015


On Wall Street

Clients Accuse $1.2B Ex-Merrill Advisor of Unauthorized Trades, Overcharging - April 8, 2015


Reuters

COMPLY-Clearing firms fear Wall Street regulator's data proposal - March 18, 2014


NY Times

A Much Criticized Pocket of the Rockaways, Built to Survive a Storm - November 19, 2012


Reuters

Ex-Wells Fargo broker scores partial win in legal dispute - August 29, 2012


NY Times

Goldman, Still Playing in Bayou's Mud - August 18, 2012


Wall Street Journal

Goldman to Sell Unit to State Street for $550 Million - July 17, 2012


Reuters

Jefferies scores in $178 mln auction-rate battle - July 9, 2012


On Wall Street

Court Rejects Goldman's Appeal of $20.6M Arbitration Award - July 5, 2012


Wall Street Journal

Goldman Dealt Setback in Bayou Case - July 5, 2012


NY Times

Court Upholds Big Award Against Goldman - July 5, 2012


Reuters

Goldman Sachs loses appeal of $20.6 mln Bayou award - July 4, 2012


The American Lawyer

Schulte Roth Loses Bid to Wipe Out $20.6 Million Goldman Arbitration Award - July 3, 2012


Bloomberg

Goldman Loses Appeal of Bayou Creditors' Arbitration Win - July 3, 2012


Bloomberg

SAC's Cohen Said to Be Deposed in SEC Trading Probe - June 21, 2012


The Wall Street Journal - Online

Goldman Continues To Fight $20.6M Bayou Award In U.S. Appeals Court - March 12, 2012


New York Law Journal

Marketplace - February 29, 2012


DowJones

Goldman Cuts Broker Ties Amid Scrutiny Of Customer Interaction - December 22, 2011


Bloomberg

Citigroup's Mathur Said to Depart With Hybrid Traders as Pandit Cuts Jobs - December 9, 2011


American Lawyer

Too Big For Their Britches? - December 1, 2011


Bloomberg

Citigroup Saudi Deal Haunts Pandit - November 30, 2011


Wall Street Journal

Goldman Battles Bayou Decision - October 15, 2011


Bloomberg

Goldman Sachs Asks Court to Throw Out $20.5 Million Bayou Creditors’ Award - October 15, 2011


On Wall Street

Citigroup Aims to Stop Arbitration From Proceeding - October 7, 2011


Bloomberg

Citigroup Sues to Block Arbitration of Saudi Investors? Claim - October 6, 2011


Reuters

Special Report: A fame-seeking Philly trader's rap falls flat - May 12, 2011


On Wall Street

FINRA: Citi to Pay Investors $6.4M - February 9, 2011


CNBC

Intelisano: For Madoff Victims Two Years Later, It'll Never Be the Same - December 9, 2010


NY Times

Goldman’s $20 Million Consequence - November 30, 2010
Source:NY Times Dealbook


Associated Press

Probe leads investors to wonder: Is game rigged? - November 24, 2010


Reuters

Goldman loses bid to toss record Bayou award - November 9, 2010


The American Lawyer

Judge Rakoff Confirms $20.6 Million Arbitration Award Against Goldman Sachs - November 9, 2010


NY Times

Judge Upholds Award Against Goldman - November 8, 2010
Source:NY Times Dealbook


Hedgefund.net

Goldman Fighting Bayou $20M+ Arbitration Award - October 22, 2010


NY Times

In Clearing Bayou, Quagmire for Goldman - October 21, 2010
Source:NY Times Dealbook


NY Times

Plaintiffs’ Bar Unhappy With Tip Process - October 14, 2010
Source:NY Times Dealbook


Reuters

Vision Capital scored big with its Harvard ties - Sepember 24, 2010


New York Times

Creditors Want Award Against Goldman Upheld - September 8, 2010


Wall Street Journal

Trade Group Seeks to Have Bayou Award Thrown Out - August 6, 2010


Wall Street Journal

Goldman Sues to Vacate $20.6 Million Bayou Award - July 24, 2010


New York Times

Goldman Must Pay Some Bayou Losses - June 26, 2010


Wall Street Journal

Goldman Told to Pay Bayou Fund Creditors - June 26, 2010


Financial Times

Goldman to pay $21m to settle claims over Bayou collapse - June 26, 2010


Wall Street Journal

Paulson & Co. May Face Investor Lawsuits on Goldman Sachs CDO, Lawyers Say - April 16, 2010


Brooklyn Law School

Featured Alumnus - Spring, 2010


Reueters

Investor in defunct Bear fund wins $3.4 mln award - February 9, 2010


Bloomberg

Galleon Wiretaps Rattle Hedge Funds as Insider Trading Targeted - October 26, 2009


Boston Globe

Broker aided Madoff, US says - June 23, 2009


New York Times

Madoff Scandal Casts Light on Investment Advisers - April 07, 2009


Bloomberg

Stanford: Signs That Should Have Worried Investors - February 18, 2009


Bloomberg

Madoff: Layers and Layers of Players - January 15, 2009


Guardian UK

Bernard Madoff faces potential 150 years in prison after lawyer confirms he is likely to plead guilty - January 11, 2009


Bloomberg

Madoff Investors Paid Fees to Funds for Profits That Vanished - January 09, 2009


New York Post

Analysts: Firm Sent Clients 'Dated' Info - December 17, 2009


Bloomberg

Rajaratnam’s Former Colleagues Cooperate, Plead Guilty in Case - November 6, 2009


Bloomberg

Westridge Got $21.3 Million From School Weeks Ago - February 02, 2009


Guardian UK

Antisemites feast on Madoff misery - December 18, 2008


Guardian UK

Madoff in house arrest and SEC under fire - December 17, 2008


Financial Times

Former investors could still be targeted - December 16, 2008


New York Times

A Palm Beach Enclave, Stunned by an Inside Job - December 14, 2008


Reuters

Legal experts see wide fallout from Madoff case - December 12, 2008


New York Times

Defrauded Fund Investors Sue Goldman - July 18, 2008


Bloomberg

Bayou's Israel Was Cheated in Scam, Investigator Says - July 15, 2008


Fox News

Agents search for NY swindler who faked suicide - June 20, 2008


Reuters

Probe deepens in missing U.S. hedge fund manager - June 13, 2008


Reuters

Search widens for missing ex-hedge fund manager - June 11, 2008


USA Today

Search for hedge-fund crook despite suicide note - June 10, 2008


National Law Journal

Smaller Law Firms Catch a Break in Market Crisis - April 17, 2008


Bloomberg

Bayou Co-Founder Gets 4 1/4 Year Sentence for Fraud - December 22, 2008


New York Times

The Bankruptcy Development That Has Wall St. Worried - February 23, 2007


Reuters

Bear Stearns likely to face hedge fund lawsuits - June 28, 2007


Reuters

Bear Stearns hedge fund investor files claim - August 02, 2007


Bloomberg

U.S. Stock-Index Futures Decline; Countrywide, Goldman Retreat - August 15, 2007


Bloomberg

Goldman Fund Cuts Fees to Woo Investors After Loss - August 15, 2007


Bloomberg

Sentinel Sold to Citadel Too Cheaply, Customers Say - August 17, 2007


Bloomberg

Citadel Wades Into Credit Crisis With E*Trade Deal - November 29, 2007


Bloomberg Business

Probe of Insider Trading at Bear Stearns - December 17, 2007


Bloomberg

Hedge Funds Withdraw SEC Registrations After Ruling - September 22, 2006


CBS News

Feds Get Break In Suicide Fugitive Case - July 20, 2006


CBS News

Cops: Hedge Fund Swindler No Suicide - July 16, 2006


New York Post

Mets Owner Sued In Bayou Collapse - July 13, 2006


Bloomberg

Bayou Investors Seek to Recover More Than $100 Mln - September 30, 2005


The Street

Bayou and the Bush Cousin - September 20, 2005


Financial Times

Lawyers look for Bayou liability - September 6, 2005


New York Times

Big Account In Arizona May Hold Bayou Cash - August 31, 2005


Bloomberg

Bayou Fund, Founder Face Lawsuits Over $4.5 Mln in Unpaid - August 31, 2005


USA Today

Money seized from Bayou Management hedge funds - August 30, 2005


Wall Street Journal

Letter admits years of fraud at Bayou, police say - August 29, 2005


New York Times

A Hedge Fund Falls Off the Face of the Earth - August 28, 2005


New York Post

Birthday Suit - Ex-Hennessee Exec Claims Pregnancy Led To Firing Birthday Suite - March 24, 2005

Client Reviews
★★★★★
Daniel Katz and his firm are exceptionally knowledgeable about the constantly changing construction business and they have given my company insightful legal advice throughout the years. They have assisted with numerous construction negotiations, claims, and business matters with many satisfactory resolutions. Michael B.
★★★★★
Daniel Katz and his team have always been exemplary, always prepared, always responsive and extremely knowledgeable about construction issues. I cannot imagine better representation. Jim F.
★★★★★
RIK fought hard for me in my FINRA arbitration which resulted in an outstanding result. I will forever be grateful to them. Jeff B.
★★★★★
Ross and his team did a wonderful job representing me in my employment dispute. They were honest, intelligent and hard working. I recommend RIK to all of my colleagues in the financial industry. Steven F.
★★★★★
The theft of pension fund assets by a money manager prompted the Board of Trustee’s investigation into “how did this happen?” John Rich and the Rich, Intelisano & Katz team managed this complex securities litigation matter to fruitful results for our pension fund. Cecelia C., Executive Director