Case Results

$2.17 million
Levinthal v. First Republic Securities Company, LLC

$1.76 million
Hall v. Morgan Stanley Dean Witter and Joseph Paul Schlater
NASD Case No. 01-01862 (01/22/03)

$1.44 million plus interest
Breiman v. Round Hill Securities, Inc. et. al.
NASD Case No. 01-00254 (09/17/02)

$1.84 million plus interest (including $1 million in punitive damages)
Smurzynski v. Kensington Wells, Inc., et. al.
NASD Case No. 97-02868 (09/25/98)

$1.3 million (including 349,134.61 in attorneys' fees and costs)
Teller v. Denison,
AAA Case No. 74-199-00581-03-TNC (07/14/04)

$1.54 million
Pacific Stock Exchange v. Cox Securities, Inc. and Edward R. Cox
PSE Case No. DEL 98-03(7/12/00)
 (Note: Lapidus was retained as Special Counsel by the Pacific Stock Exchange to prosecute member firm Cox Securities, Inc. and individual member Edward R. Cox for violation of Exchange rules.  The Decision in this case also ordered the permanent bar of Cox Securities, Inc. and Edward R. Cox from membership with the Pacific Stock Exchange)

$1.01 million
Coutant and Goheen v. Morgan Stanley Dean Witter and David Owen Earle FINRA Case No. 2002-010359 (02/15/08)

$750,000.00
Dubois v. Morgan Stanley DW, Inc.
NASD Case No. 01-06257 (09/17/04)

$699,289.00
Mitchell v. Murphy Investment Management, Inc. and Michael Murphy
JAMS Case No. 1100036044
(08/06/03)

$582,215.00 (Rescission valuation)
Roth v. GKN Securities Corp. and Research Partners International, Inc.
NASD Case No. 98-04988 (06/16/00)

$553,714.00 (including $500,000.00 in punitive damages)
Safrin v. Essakow
PSE Case No. ARF-11023 (10/21/95)

$200,000.00+
Yost, et. al. v. Baldwin Capital Partners, et. al.
AAA Case No. 74-136-0219-88 (02/90)       

$204,886.00 (including $10,000 in punitive damages and $49,000 in attorneys' fees) plus additional confidential settlement amount.
Farley v. Prudential-Bache Securities, Inc., Michael Blatt, et. al.(11/98)
Affirmed on appeal - Blatt v. Farley (1990) 226 Cal.App.3d 621.

$250,000.00
Misha v. Stone & Youngberg
FINRA Case No. 08-00326

$170,132.00 (including $56,711 in attorneys fees)
Karel, et. al. v. Prudential Securities, Inc. -
AAA Case No. 74-136-00756-94 (03/16/95)

$154,703.01
Burns v. Prudential Securities, Inc. and Skip Harrision
AAA Case No. 74-M136-1279-91 (07/01/92)

$112,000.00 plus additional confidential settlement amount
Jensen, et. al. v. Prudential Securities, Inc.
AAA Case No. 74-Y-136-01227-93 (01/26/95)

$101,614.46
Bridges v. Kidder Peabody & Co. and Gregory F. Wilbur
AAA Case No. 74-136-00755-95 (04/26/96)

Form U-5 Expungement
DC v. Southwest Securities, Inc.
FINRA Case No. 07-01145 (03/10/08)

Settlements

Since 1986, Cary S. Lapidus has represented over 100 clients and has obtained settlements, awards and judgments on their behalf in excess of
$30 million.