Significant Cases

SIGNIFICANT CASES: John J. Muldoon, III

U.S. District Court, Case No. 97-860(AET)

• Successful defense of Class Action brought against various parties, including client FCM, alleging among other things, fraud and conspiracy. Representation included successful defense of Plaintiffs' appeal to the U.S. Court of Appeals for the Third District and successful Response to Petition for Writ of Certiori to the Supreme Court of the United States.

U.S. District Court, Case No. 01-7456

• Pending representation of two off-floor traders against the four major secuties options exchanges including the CBOE for securities fraud, including violations of §10-b(5).

U.S. District Court, Case No. SA-01-CA-1180

• Pending representation of U.S. investor against Cayman Island banker for breach of fiduciary duties, fraud and conversion.

U.S. District Court, Case No.97 C 8794

• Case pending for Jury Trial Defense of FCM against claim of unauthorized liquidation.

U.S District Court, Case No. 01-308

• Pending representation of individual for Income Tax Evasion.

Circuit Court of Cook County No. 97 CH 11264

• Successful Petition to Vacate NFA Arbitration Award against FCM. Representation included successful defense of Defendant's appeal to the Illinois Appellate Court.

NFA Arbitration No. 99﷓ARB﷓29

• Successful defense of FCM against $4,000,000 claim for, among other things, unauthorized trading and churning after Arbitration hearing.

NFA Arbitration No. 98-ARB-189

• Successful defense of FCM against $500,000 claim for breach of Merger Agreement by former Associated Persons after Arbitration hearing.

NASD Arbitration No. 99-01198

• Successful defense of Registered Representative against $500,000 claim for, among other things, misrepresentation, fraud and unauthorized trading after Arbitration hearing.

CFTC Docket Number 98-R070

• Successful defense of FCM and Associated Persons in claim for unauthorized liquidation after CFTC Reparations hearing.

NASD Arbitration No. 95-02060

• Successful defense of Broker-Dealer and Registered Representative against $500,000 claim for, among other things, misrepresentation, fraud and unsuitable recommendations after Arbitration hearing.

NASD Arbitration No. 99-02603

• Successful settlement of client, Plaintiff's, claim for, among other things, misrepresentation and unauthorized trading against Broker Dealer and Registered Representative.

NASD Arbitration No. 98-02033

• Successful settlement of claim for, among other things, breach of contract and mis-valuation of government securities against client, Broker Dealer.