2021 Promissory Note Negotiation
You've worked diligently for years as a financial advisor deepening client relationships, have a cluster of clients who believe in you and trust you. You decide its time leave the bank program and strike out on your own as in independent advisor to concentrate your efforts, experience and expertise fully on those clients; except the 'big bad bank' wants to continue profiting off your work long after you are gone, and threatens to sue you. Don't take them on alone, or with an attorney who doesn't know 'the business'. Enter Stuart Meissner. Deep experience in the securities arena, Attorney Meissner and his team are who you want on your side. He will ably, professionally and firmly represent your interests, and unabashedly advise you on what is possible and what is not. Expect a reasonable fee, timely execution and fair resolution. If a dispute trying to navigate around a non-compete clause is on your horizon, hire an attorney who thoroughly knows the 'lay of the land'. Hire Stuart Meissner.
James Stein, Pennsylvania
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2020 Investor Arbitration
Mr. Meissner is an EXCEPTIONAL attorney. He believed in my case from day one and I trusted that with his knowledge and experience that he would be the BEST person to take on my problem. He is very assertive, thorough and smart. He is a WINNER In his field and I want to thank him for what he has done for me and my family!!!
Robin Fratto, New York
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2019 U5 Termination Language Negotiation Case
My case was relatively simple, a small endeavor for Stuart relative to the impact and major settlement's he's achieved for his many clients. That said, he made me feel as if my case was the most important one he's ever argued. His attention to detail and service rendered a "best scenario" outcome that I didn't think was possible, and now I can move forward with my career. Thank you Stuart!
James Rosenbloom, Louisiana
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2018 FINRA 8210 Letter Regulatory Defense Re Alleged Unauthorized Trading Resulting in a simple non-reportable Letter of Caution
FINRA had sent me several series of questions to answer for 8 months. I email them a 6 page response and FINRA requested more questions within 20 minutes. It was never ending. I was unsure of the phrases used or what they wanted in my response. My evenings and weekends where consumed with worry and writing responses to events 11 months ago. Stuart, returned my phone call, and followed up. He helped me limit superfluous information and zero in on the questions being asked. This was fairly settled and closed. My life is back to helping my clients.
Raymond, Louisiana
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2018 Employment Dispute – False Recruitment Promises Multi Million Dollar FINRA Arbitration Claim - Settled
I had left employment there after many years when Stuart took on my case. He was GREAT on the case from the filings to the mediation. He fought for me from the beginning to the end. I would recommend him in a heartbeat and retain him again if ever the need arose.
Wendy, Syracuse New York
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2017 FINRA Fraudulent Recruitment FINRA Arbitration Claim #16-00597 & Defending Promissory Note Claim - Win Against Citizens Securities For 1.7 Million dollars for our client, including compensatory damages, retroactive interest, discovery sanctions & all FINRA forum fees:
I was involved in a promissory note dispute with Citizens Investments. Citizens had recruited me by telling me lies and misleading information. I had nothing in writing. Just a back dated acknowledgment from that was backdated said I was not promised anything. Being sanctioned by FINRA not once but twice. Stuart was a bull dog. He made sure to we got everything we needed. Plus he got sanction money from them both times which is unheard of. Once we got to arbitration Stuart just gave it them good. He turned their witness into our best witnesses. Stuart would not let them off the hook. In an unheard result I ended up getting award close to $1,700,000 dollars. Without Stuart I would be bankrupt, without a job and barred by FINRA. I can't thank him enough. If you need to fight a big financial institution YOU need to call him. Stuart helped me emotionally through this also. It will be one of the most trying times and important times in your life. YOU need his help and vast knowledge of securities law. He knows them better then they do. I can't Thank him enough!!! He changed the fortunes of my life and my family's life!!!! Don't go it alone YOU will lose and be Bankrupt!!! Stuart should be your first call!!!
Stuart Without you I would be bankrupt, without a job and barred by FINRA for failing to pay on the 220K note they were trying to go after me for. I can’t thank you enough. You helped me emotionally through this also. I needed your help and vast knowledge of securities law.I can’t thank you enough!!! you changed the fortunes of my life and my family’s life!!!!
Frank Aiello
Pittsburgh Pa.
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2016 FINRA Enforcement Investigation Representation - Allegation - Failure to Report Past Judgments on U4. Forceful Response to FINRA Rule 8210 inquiry letter, Result - simple letter of caution with no resulting mark on CRD. Total cost to client - under $2,000 and his record remained clean:
Stuart: I appreciate all you help and you were very pleasant, professional and encouraging to work with! Thank you very much!
Johnathan, Charlotte N.C.
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2016 - U5 negotiation regarding revision of language after termination - Through direct engagement with in-house counsel, succeeded in reversing Merrill Lynch's decision in checking off Section 7F1 of form U5 (violation of investment related statutes, regulations, rules or industry standards) which would have triggered a FINRA Enforcement Investigation and a Brokercheck mark, as well as significantly modifying the underlying U5 language, removing references of not cooperating with an internal investigation. Clean Brokercheck. Total cost to client $2,800:
Thank you again for all of your help !
Dina, Massachusetts
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2015 FINRA Arbitration – Post Employment Defamation and Permissive Sexual Harassment. Settled in Mediation.
Although my case was in North Carolina, I sought New York legal representation because the issues involved a major brokerage firm, an OSJ and the private contractor issue. I required an attorney who would be able to deal effectively with the litigation/arbitration. Stuart's representation has allowed me to continue with my practice while he focused on the issues and daily challenges that where presented in my case. I highly recommend his professional services.
Jollene, North Carolina
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2014-2015 Brokerage Employee Promissory Note and FINRA Arbitration Fraudulent Inducement Case in Texas
Stuart You are fearless in facing down the other side. you remind me of “Rocky 1″, making no assumptions that it was going to be an easy win, but left no rock unturned in accomplishing our goal. Thanks.
Michael, Houston Texas
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2007 Senior Investment Banking Employee FINRA Arbitration Whistleblower Case v. Major Wire House in New Jersey
Dear Stuart:
I wanted to take a moment look back and personally express my appreciation for all of your efforts in how my was handled and concluded. Needless to say there were numerous venues which you had to choose from, the allegations involved whistle blowing, age discrimination, defamation, securities law violations and as you expected from the firest the multi-billion dollar corporation involved denied all claims and responsibility until the final bell. Your patience and professionalism will never be forgotten by me or my family especially near the end when your counsel was invaluable in letting us make all crucial decisions without pressure but with a clear understanding of what could be won or lost depending on the course we pursued.
Thank you again,
John, New Jersey
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2014-2015 FINRA Arbitration Brokerage Employment Dispute Wrongful Discharge - Defamation Claim
Although my case was in North Carolina, I sought New York legal representation because the issues involved a major brokerage firm, an OSJ and the private contractor issue. I required an attorney who would be able to deal effectively with the litigation/arbitration. Stuart's representation has allowed me to continue with my practice while he focused on the issues and daily challenges that were presented in my case. I highly recommend his professional services.
Jollene, North Carolina
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2007 FINRA Arbitration Employee Stock Option Case vs. Morgan Stanley in Washington DC
In seriousness, it may take me some time to get used to the reality of
winding up with this chunk of change — but seeing the check for yourself sure
helps bringing that home. Maybe I will even make better use of it this time
around! Please give me a ring any time you’re in town, and I’ll do the same when I
visit the Big Apple
Greg,
Washington D.C.
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2004 Securities Broker Defense in FINRA Arbitration Investor Arbitration in Nebraska:
A Great Attorney
Stuart Meissner represented me several yrs ago in an arbitration hearing. With my integrity and livelihood on the line, Stuart, at every turn, proceeded as if he were defending his own. From the beginning of the process to its fruition, Stuart demonstrated a willingness to do everything he could to make me comfortable with the direction we were taking in my defense by taking a firm but inclusive approach. His work ethic is second to none and was put on demonstration for all to see at the arbitration hearing where he absolutely steamrolled the opposing side. Every aspect of our defense was thoroughly prepared and every move we made was thoughtful and deliberate. At its resolution, although I was facing the lawsuit, all charges were dismissed and I was actually awarded a monetary sum by the arbitration committee. I have the utmost respect for Stuart both personally and professionally and count him as a trusted advisor. I cannot stress enough the importance of choosing a good attorney and in Stuart Meissner you will have chosen a great one.
Frank, New York
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2009 - 2015 - Claim against Lehman Brothers Inc - FINRA Arbitration and SDNY Bankruptcy Court
I live in the Midwest and required a good security lawyer for my claim against Lehman Brothers, previously one of the top brokerage firms headquartered in New York. Stuart Meissner's office is in New York and his law practice includes security law. My legal claim was complex and became more so when Lehman Brothers filed what has been regarded as the largest bankruptcy case in history. For over six years Stuart Meissner has had to deal with multiple and substantive issues as well as the different venues for representation and resolution of this claim. This required notifying me, explaining and assisting me in understanding the issues, supplying documentation, and determining decisions. Stuart Meissner also had to engage in handling these legal issues as well as dealing with courts and multiple lawyers first, within the context of a regular security claim and then, within the context of a bankruptcy claim. This claim is currently in settlement.
I recommend others who have security or similar type claims to consider legal representation by Stuart Meissner. The legal path may be long, arduous, and complicated but Stuart Meissner will be your legal representative who can meet the challenge.
Connie 2015
Midwest
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2014 - 2015 Litigation New York Supreme Court
Managing Director
Stuart Meissner who I trust and respect has a well thought out concept of how to relate to his clients. His highly intelligent and personal abilities allow him to analyze cases rapidly with an organized follow up. Stuart is aggressive in representing the rights of his clients. He is a hidden gem in the the world of attorneys.
Steve, New York
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2010 FINRA Arbitration Suitability Case vs. Morgan Stanley
Thank you for all you did you are the best. By the way, I think of you often and will always remember what a joy it was working with you — especially when the checks arrived! Hope you and your family are well.
With affection,
Sylvia,
East Meadow, N.Y.
References available upon request
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