The Law Offices of Cary S. Lapidus

A Highly Experienced
Securities Law Attorney

Representing clients who have suffered Investment Losses from Stockbroker and Investment Adviser Misconduct

Attorney Cary S. Lapidus Headshot

Serving clients in California and Across the Nation.

Experience Matters

When dealing with securities and investment fraud cases, having an attorney who truly understands this complex area of law is key.LEARN MORE

Practice Areas

Representing investors who have been mistreated by financial advisers and financial advisers who are going up against their firm.

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Leveraging His Background To Secure Justice For You

Law Offices of Cary S. Lapidus is a San Francisco-based attorney whose practice is concentrated in securities arbitration and litigation. As a former staff attorney with the U.S. Securities and Exchange Commission’s Division of Enforcement and Divisions of Market Regulation from 1982 to 1986, Mr. Lapidus prosecuted cases involving broker-dealer abuses, marketing manipulation, management and financial reporting fraud, Ponzi schemes and insider trading.

A Reputation Founded On Success

Since entering private practice in 1986, Mr. Lapidus has represented numerous investors in American Arbitration Association, Pacific Stock Exchange and NASD arbitrations against most of the nation’s major securities brokerage firms. He has provided legal counsel for matters involving investment losses, market manipulation, churning, unsuitable recommendations, employee stock options, unauthorized trades, and misrepresentations and omissions of material facts. He has obtained settlements, awards and judgments on his clients’ behalf in the of tens of millions of dollars.

Cary S. Lapidus

Attorney Cary S. Lapidus

Learn More About Mr. Lapidus’ Record for Success

Smurzynski v. Kensington Wells, Inc., et. al. ⇒ $1.84 million (including $1 million in punitive damages and interest)

The Law Offices of Cary S. Lapidus obtained an arbitration award of $1.84 million including $1 million in punitive damages and interest for clients who alleged that the stocks they invested in were manipulated and that material facts were misrepresented to them.

Pacific Stock Exchange v. Cox Securities, et. al. ⇒ $1.54 million

The Law Offices of Cary S. Lapidus obtained an award of $1.54 million on behalf of the Pacific Stock Exchange who retained Lapidus as special counsel to prosecute the case. In addition to the monetary award, Lapidus obtained a Decision ordered the permanent bar of the Pacific Exchange member from membership with the Pacific Stock Exchange.

Teller v. Denison ⇒ $1.3 million

The Law Offices of Cary S. Lapidus obtained an arbitration award of $1.3 million, including in excess of $349,000 in attorney fees and costs on behalf of a client who alleged a breach of contract in connection with the private sale of securities.

Hall v. Morgan Stanley Dean Witter, et. al. ⇒ $1.76 million

The Law Offices of Cary S. Lapidus obtained an arbitration award of $1.76 million for clients who sustained losses in a complex investment known as a Prepaid Variable Forward Contract. The clients also alleged the recommendation of unsuitable investments in their stock portfolio.

Bourdev v. JPMorgan Chase ⇒ $350,000 + revision of Form U-5 language

$350,000 on behalf of a registered representative/banker who was terminated from JPMorgan Chase. After a full evidentiary hearing, a FINRA arbitration panel awarded $350,000 in compensatory damages for defamation and/or wrongful termination and ordered that the language on her Form U-5 be changed to reflect that she did not engage in any wrongdoing and that the company conducted a deficient investigation.

Coutant v. Morgan Stanley Dean Witter, et. al. ⇒ $1.01 million

The Law Offices of Cary S. Lapidus obtained an arbitration award of $1.01 million on behalf of clients who alleged that their securities brokerage firm failed to diversity their account, placed them in unsuitable investments and misrepresented the risks of options trading.

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.

WCM, LLC v. Cooper ⇒ $1.56 million (plus attorneys fees and expenses)

The Law Offices of Cary S. Lapidus obtained an award of $1.56 million on behalf of a registered investment advisory firm and two of its partners who retained Lapidus to recover money allegedly misappropriated by one of their partners. In addition to the $1.56 million monetary award, Lapidus’ clients were awarded their attorney fees and expenses. The arbitrator also found that the firm’s expulsion of the partner was “For Cause”.

Testimonials

Judge Cahill made the comment that the presentations he saw at our hearing were the best he had seen in 13 years as an arbitrator. What a professional compliment that was, especially in light of the Judge’s decision and award!!!!!! We are all very grateful for your wonderful work! You are the embodiment of the highest level of professionalism and competence. What a great win!! Thank you, thank you, thank you!

– G. Ozag
Client

Testimonials

Dear Cary: We wanted to thank you from the bottom of our hearts. Whether we win or lose our case we know that you did just an incredible job representing us. Your dedication, intelligence and thoroughness were beyond our greatest hope. We certainly didn’t have the largest case but you treated our case with passion, professionalism and care. You were brilliant. You are a great lawyer and a great person. Words can’t express the depths of our feelings. Thank you.

– Robert and Christine Mitchell
Clients

Testimonials

He is one of the great ones. So straightforward, so direct, so well prepared, so powerful in his presentation … you would be hard pressed to find a better advocate to plead your case.

– Robert D. Links, Esq.
Arbitrator in two of Lapidus’ cases

Testimonials

Cary achieved a fantastic arbitration reward for me through a combination of extremely patient and diligent work presented to the arbitrator in calm, reasonable and honest explanations. His guidance on the legal and strategic decisions was dead on. He was always available to me even for minor questions and lengthy exploratory sessions. I interviewed 11 lawyers in the Bay area prior to settling on Cary and if I ever run into a situation where I need legal advice again the first person I would call is Cary Lapidus.

– David Teller
Client

  • LexisNexis Martindale-Hubbell Peer Review Rated for ethical standards and legal ability highest possible rating in both
  • Super Lawyers Northern California Selected Multiple Years
  • PIABA Public Investors Arbitration Bar Association
  • Securities and Exchange Commission SEC Enforcement Alumni

Experienced. Respected. Knowledgeable.