Zachary R. Durant

Secured an award in a AAA arbitration on behalf of their financial advisor client accused of breaching his fiduciary duties while executing trades in a managed trust account. In this regard, the advisor reallocated over $1 Million in highly appreciated assets as part of a diversification strategy, which resulted in capital gains that were not anticipated by the client. Those gains resulted in state and federal taxes that the client sought to recover as a result of the alleged unauthorized trading. After the merits hearing, the financial advisor was cleared of any wrongdoing and an award was issued in his favor denying all claims with prejudice.

Expungement of customer dispute awarded in favor of investment advisor/broker in FINRA arbitration hearing.

Following a three-year investigation, culminating with a March 2023 notice of intent to revoke his client's insurance licensure, Joe Simms participated in an evidentiary hearing in March 2024 in front of the Ohio Department of Insurance. The investigation arose in connection with a nationwide Ponzi scheme that spanned seven years and impacted more than 15,000 individuals, causing several hundred million dollars of losses, and resulting in criminal convictions of a half dozen (non-client) people, including decades of prison time and over a half billion dollars (with a "B") in fines. Joe received notice that the hearing officer agreed that revocation or suspension was not an appropriate sanction for his client, and imposed a fine of just $2,000.

Summary judgment granted in favor of a financial institution in a case arising from a dispute between an investment advisory firm and one of its representatives. Plaintiff asserted that our client tortiously interfered with the contract between the firm and its representative, and was seeking seven-figure damages. The Court agreed that Plaintiff failed to establish that there was a genuine issue of material fact as to our client's conduct, and therefore ruled in favor of our client.  

Represented client in FINRA arbitration to expunge defamatory statements from a Form U5 termination notice. The arbitration panel ordered that all negative references be expunged from our client’s record and also awarded a partial reimbursement of attorney fees.

Represented client in FINRA investigation regarding allegations of fraud, misappropriation of funds and securities, unauthorized trading activity, concealment, and misrepresentations. FINRA closed its investigation of our client without any formal (or informal) disciplinary action. 

Motion for Summary Judgment in favor of Condado Tacos on all claims asserted against it, including trademark/trade dress, copyright, trade secrets, contract, and fraud.