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NYGAARD PREVAILS AGAINST AMERIPRISE AND RECOVERS $776,000 FOR CLIENT
In October, 2013, Mrs. Nygaard prevailed against Ameriprise for a retired businessman. The Panel required Ameriprise to buy back...
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CLASS ACTIONS AGAINST INSURANCE COMPANIES
Diane Nygaard has represented investors in several class actions against insurance companies: Kippes, et al. v, Knights of Columbus...
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WINNING ARBITRATION AWARD AGAINST E*TRADE
In July 2010, Diane Nygaard tried and won an arbitration for three E*TRADE investors who had been sold risky...
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WINNING ARBITRATION AGAINST OPPENHEIMER
In August, 2011, Diane Nygaard arbitrated and won a case against Oppenheimer Securities for an investor who had a...
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DERIVATIVE KINDER MORGAN SHAREHOLDERS LITIGATION
Diane A. Nygaard was co-counsel in this shareholder derivative case that resulted in a $200 million class action settlement...
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Energy, Oil and Gas Investments
Oil prices have dropped in half over the last year. Energy stocks and investments have also collapsed. Investors with...
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Exchange Traded Funds (ETFs)
Exchange traded funds, ETFs, have grown increasingly popular in recent years – but they’ve also become more complex, exotic...
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LPL Fund to Compensate REIT Investors
On September 23, 2015, LPL and the SEC reached an important agreement for its customers: LPL has admitted that...
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Elder Abuse: Do You Know Where Your Parents’ Money Is?
Over the last year, I have filed cases on behalf of several elderly people, some of whom have serious...
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Options Trading
Trading options is covered by special supervisory rules under FINRA, which apply to all brokers executing options trades for...
- FINRA, NASDAQ, BX, PHLX, ISE, NYSE, NYSE Arca, NYSE American, Cboe, BZX, BYX, EDGA, and EDGX Permanently Bar Samuel Lek and Fine Lek Securities Corporation for Supervisory and Market Access Rule Violations
- FINRA Promotes Jessica Hopper to Head of Enforcement
- FINRA Releases 2020 Risk Monitoring and Examination Priorities Letter