Item: Rich, Intelisano & Katz, LLP
Rating: 5
Author: Michael B.

Securities Arbitration and Financial Fraud Litigation

Financial Fraud Litigation

Rich, Intelisano & Katz has an internationally recognized financial fraud litigation practice which represents retail and institutional investors in cases against financial firms. Our clients have included ultra high net worth and high net worth individuals, family offices, hedge funds, funds of funds, endowments, non-profits and other institutions in claims against investment and private banks, investment advisors, hedge funds and other financial companies. The Firm has combined experience of almost 100 years in large and complex securities, commodities and derivatives fraud cases on behalf of investors. Our attorneys have litigated financial fraud cases related to securities, commodities, over-the-counter derivatives and swaps, hedge funds, private equity investments, proprietary products, structured products and various other complex investments.

The Firm presently represents a family office in a $383 million FINRA arbitration claim in New York against Citigroup Global Markets Inc. related to Citigroup’s misconduct with respect to the structuring, monitoring and handling of hedge fund and private equity portfolios, and the improper recommendation and implementation of a leveraged option swap transaction and a lender protected unit trust. CGMI has filed a motion in court to attempt to stay the arbitration which is pending in the SDNY.

The Firm handled a $15 million dispute on behalf of a fuel and heating oil company against an international broker dealer related to the purchase of OTC derivatives, including swaps and options, pursuant to an ISDA agreement. The case was litigated in court in New York as well as in two FINRA arbitrations.

★★★★★

Daniel Katz and his firm are exceptionally knowledgeable about the constantly changing construction business and they have given my company insightful legal advice throughout the years. They have assisted with numerous construction negotiations, claims, and business matters with many satisfactory resolutions. Michael B.

Daniel Katz and his team have always been exemplary, always prepared, always responsive and extremely knowledgeable about construction issues. I cannot imagine better representation. Jim F.

RIK fought hard for me in my FINRA arbitration which resulted in an outstanding result. I will forever be grateful to them. Jeff B.

Ross and his team did a wonderful job representing me in my employment dispute. They were honest, intelligent and hard working. I recommend RIK to all of my colleagues in the financial industry. Steven F.

The theft of pension fund assets by a money manager prompted the Board of Trustee’s investigation into “how did this happen?” John Rich and the Rich, Intelisano & Katz team managed this complex securities litigation matter to fruitful results for our pension fund. Cecelia C., Executive Director

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