Gusrae Kaplan Nusbaum PLLC is pleased to announce and welcome Andrew Wels, the new lead of Gusrae Kaplan’s investment advisor unit. Prior to joining Gusrae Kaplan Andrew served as Assistant General Counsel and Director of Compliance at Cantor Fitzgerald / BGC where he oversaw all legal, regulatory and compliance matters.
Gusrae Kaplan Nusbaum PLLC is pleased to welcome Member Andrew Wels
Recent News
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November 6, 2017
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New York, NY—November 2, 2017—Prometheum, Inc. announced today an initiative to create the Prometheum Network, an Initial Coin Offering blockchain securities infrastructure for the issuance, trading, settling and clearance of tokenized securities (ICO Tokens), planned from the ground up to be Federal Securities Law compliant. The Prometheum initiative is designed to incorporate the benefits of existing, proven blockchain technologies into the securities landscape while bringing…
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May 24, 2016
GKN successfully represented Charles Vista LLC, a registered broker dealer, and its owner, Gregg Lorenzo (the “Vista Defendants”) in a securities fraud claims brought pursuant to Section 10(b) and 20(a) of the Securities Exchange Act of 1934. The District Court dismissed the claims against the Vista Defendants on grounds that the Plaintiff failed to adequately plead securities fraud, specifically, that the group pleading doctrine did…
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May 17, 2016
May 6, 2016: the Court in Anwar v. Fairfield Greenwich Limited, et. al., 09-cv-118 (VM), approved a $55 million settlement with PwC. This settlement increased to over $250 million the aggregate settlement total in the federal lawsuit that was initially filed on January 9, 2009 by Gusrae, Kaplan & Nusbaum Partner David A. Gehn, along with co-counsel, Wolf Popper, against Fairfield Greenwich Limited, the largest…
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January 15, 2015
Gusrae Kaplan Nusbaum PLLC named one of Nation’s “Most Feared” Litigation Firms for the third year in a row. For the third consecutive year, Gusrae Kaplan Nusbaum (GKN) has the honor of being named one of the “Most Feared Law Firms” in BTI Consulting Group’s Litigation Outlook for 2016, a leading industry standard in litigation. The BTI “Most Feared” list is based on interviews of…
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November 5, 2014
In the arbitration styled William Francis Garbarino vs. Raymond James Financial Services, Inc., et al., FINRA Case No. 09-04736, following a 76 hearing session arbitration spanning almost 3 years, the Panel unanimously assessed an award of $1,088,944 including $225,000 punitive damages and $858,944 in attorneys’ fees, in favor of the Respondents and against a former Raymond James financial advisor who inititated the arbitration and requested…
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February 20, 2014
In a just released transcript, NY State Supreme Court commercial Division Justice Eileen Bransten proclaimed on record that Gusrae Kaplan Nusbaum attorneys “deserve a gold medal” due to “hard work” that “was a pain to do,” but “worth the extra trouble.” See attached highlighted transcript page 3 of 3. The kudos came in the home stretch of GKN successfully obtaining expungement from securities regulators’ joint…
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October 23, 2013
In a big win for GKN on behalf of its clients, the U.S. District Court for the Southern District of Florida issued a dramatic 35-page decision today, laying out an imposter group’s “at best, . . . attempt to game the system and, at worst, a coordinated effort to perpetrate a fraud on this Court.” The decision cites filings in courts world-wide, including Gibraltar, New…
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June 6, 2013
After a two-year long investigation, the SEC has notified Gusrae Kaplan Nusbaum PLLC that it will not be recommending any enforcement action by the Commission against Gusrae Kaplan’s client and its principals. Gusrae Kaplan represented a Real Estate firm in an SEC investigation that focused on possible violations of federal securities laws and abuse of capital formation. The SEC investigated losses incurred from real…
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November 6, 20170 Comments
New York, NY—November 2, 2017—Prometheum, Inc. announced today an initiative to create the Prometheum Network, an Initial Coin Offering blockchain securities infrastructure for the issuance, trading, settling and clearance of tokenized securities (ICO Tokens), planned from the ground up to be Federal Securities Law compliant. The Prometheum initiative is designed to incorporate the benefits of existing, proven blockchain technologies into the securities landscape while bringing…
-
May 24, 2016
GKN successfully represented Charles Vista LLC, a registered broker dealer, and its owner, Gregg Lorenzo (the “Vista Defendants”) in a securities fraud claims brought pursuant to Section 10(b) and 20(a) of the Securities Exchange Act of 1934. The District Court dismissed the claims against the Vista Defendants on grounds that the Plaintiff failed to adequately plead securities fraud, specifically, that the group pleading doctrine did…
-
May 17, 2016
May 6, 2016: the Court in Anwar v. Fairfield Greenwich Limited, et. al., 09-cv-118 (VM), approved a $55 million settlement with PwC. This settlement increased to over $250 million the aggregate settlement total in the federal lawsuit that was initially filed on January 9, 2009 by Gusrae, Kaplan & Nusbaum Partner David A. Gehn, along with co-counsel, Wolf Popper, against Fairfield Greenwich Limited, the largest…
-
January 15, 2015
Gusrae Kaplan Nusbaum PLLC named one of Nation’s “Most Feared” Litigation Firms for the third year in a row. For the third consecutive year, Gusrae Kaplan Nusbaum (GKN) has the honor of being named one of the “Most Feared Law Firms” in BTI Consulting Group’s Litigation Outlook for 2016, a leading industry standard in litigation. The BTI “Most Feared” list is based on interviews of…
-
November 5, 2014
In the arbitration styled William Francis Garbarino vs. Raymond James Financial Services, Inc., et al., FINRA Case No. 09-04736, following a 76 hearing session arbitration spanning almost 3 years, the Panel unanimously assessed an award of $1,088,944 including $225,000 punitive damages and $858,944 in attorneys’ fees, in favor of the Respondents and against a former Raymond James financial advisor who inititated the arbitration and requested…
-
February 20, 2014
In a just released transcript, NY State Supreme Court commercial Division Justice Eileen Bransten proclaimed on record that Gusrae Kaplan Nusbaum attorneys “deserve a gold medal” due to “hard work” that “was a pain to do,” but “worth the extra trouble.” See attached highlighted transcript page 3 of 3. The kudos came in the home stretch of GKN successfully obtaining expungement from securities regulators’ joint…
-
October 23, 2013
In a big win for GKN on behalf of its clients, the U.S. District Court for the Southern District of Florida issued a dramatic 35-page decision today, laying out an imposter group’s “at best, . . . attempt to game the system and, at worst, a coordinated effort to perpetrate a fraud on this Court.” The decision cites filings in courts world-wide, including Gibraltar, New…
-
June 6, 2013
After a two-year long investigation, the SEC has notified Gusrae Kaplan Nusbaum PLLC that it will not be recommending any enforcement action by the Commission against Gusrae Kaplan’s client and its principals. Gusrae Kaplan represented a Real Estate firm in an SEC investigation that focused on possible violations of federal securities laws and abuse of capital formation. The SEC investigated losses incurred from real…
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