Joseph C. Peiffer
Mr. Peiffer has represented hundreds of individual retirees against their brokers in FINRA arbitration. The highlights of this practice include representing 32 Exxon retirees in a 90-day FINRA arbitration against Securities America that resulted in a $22 million verdict — one of the largest ever awarded by a FINRA arbitration panel. He has also represented hundreds of Xerox and Kodak retirees against their broker resulting from the broker’s fraudulent advice to retire and subsequent unsuitable investments.
He currently represents clients against British Petroleum arising from the oil spill that occurred in the Gulf of Mexico. He was recently part of the legal team that filed a temporary restraining order to stop BP from paying dividends to its shareholders before it could show that it could pay to clean up the Gulf.
Also, he currently represents the Louisiana Firefighters Retirement Fund in their case against Northern Trust concerning securities lending. Additionally, he represents Louisiana Citizens Insurance Company and several West Virginia hospitals in cases against their investment banks arising out of their issuance of auction rate securities. He also is on the plaintiffs’ steering committee in a nationwide antitrust class action involving the illegal tying of cable set-top boxes to the provision of premium cable services.
Mr. Peiffer is one of three Louisiana lawyers ranked by Chambers USA for securities litigation.
He has been quoted by USA Today, Wall Street Journal, the Associated Press,New York Times, New York Daily News, the Los Angeles Times, Business Week,Investment News, and many other publications. Mr. Peiffer has also appeared on CNN. He was named as one of the fifty Leaders in Law by New Orleans City Business Magazine.
He has also taught and lectured extensively. He is currently co-authoring a book on Litigating Business Torts for West, a Thomson Reuters Business. He co-created and taught a class entitled Storytelling and Advocacy at Loyola Law School. Also, at Loyola Law School, he has taught a course entitled “The Basics of Arbitration” and he also serves as an adjunct professor teaching Trial Advocacy. He has guest lectured at Tulane Law School in its Securities Regulations class and Syracuse Law School on securities arbitration. He has spoken at many national conventions on a variety of topics including prosecuting large, multi-client claims, broker’s deficient advice to retire and FINRA arbitration.
Mr. Peiffer graduated from Tulane School of Law, cum laude, in 1999. While at Tulane, he served on the Tulane Law Review and was involved with the Tulane Legal Assistance Program. Prior to attending Tulane, he graduated from Bowling Green State University in 1996 with a major in communications. While at Bowling Green, he worked as the General Manager of the campus radio station and City Editor of the daily newspaper.
Mr. Peiffer has also successfully represented criminal defendants on a pro bono basis. He is a member of the Louisiana State and American Bar Associations. He also is a member of the American Association for Justice where he currently serves as Chairman for the Business Torts section. He is also a member of the Public Investors Arbitration Bar Association where he has served on the amicus committee.
Alan L. Rosca
Alan Rosca is a securities lawyer and an adjunct professor of securities regulation. Alan primarily represents individual and institutional investors who suffered losses as a result of fraud, Ponzi schemes, stockbroker misconduct, and other securities rule violations. He has participated to numerous FINRA arbitrations as well as to class actions and other litigation proceedings nationwide.
Alan has represented over 1,000 investors in proceedings across the country, arising out of investment fraud, Ponzi schemes, or investment-related misconduct. In 2015, he was instrumental in recovering nearly $11 million in compensation for investors who lost money as a result of investment fraud or misconduct.
Alan has been quoted in the media on the topic of investment loss recovery from Ponzi schemes. He has co-authored amicus curiae briefs submitted to state Supreme Courts on behalf of investors in securities litigation proceedings. He is currently authoring a study on the characteristics of the typical Ponzi scheme perpetrator and recovery venues available to investors. He is also a speaker and author on attorney professionalism.
He received his Juris Doctor degree summa cum laude from the Cleveland-Marshall College of Law, Cleveland State University. While in law school, he served as a Managing Editor of the Cleveland State Law Review, received the Dean’s (full) scholarship for the entire Juris Doctor program, was on the Dean’s List, and won the “Best Oralist” award in the Jessup Moot Court competition, Pacific Region. He passed the Ohio Bar exam in top 1%, with the highest grade in the state to the multi-state (federal law) section.
He is a member of the Public Investors Arbitration Bar Association, a nationwide association of securities lawyers dedicated to representing investors in securities-related disputes. He also holds a Master of Business Administration degree from Baldwin Wallace University, Ohio.
Before becoming a lawyer, Alan worked in the securities industry and developed first-hand knowledge of the industry’s compliance and supervisory procedures and their practical enforcement. His exposure to the inner workings of the securities industry has helped him better represent investors as an attorney-at-law, in cases against industry members that fail in their duties to protect the investing public and abide by the securities rules and regulations.
Alan is licensed to practice law in Ohio, Fourth Circuit, Northern District of Ohio, Northern District of Texas, and Eastern District of Virginia.
Juris Doctor, Summa Cum Laude, Cleveland-Marshall College of Law, Cleveland State University, Cleveland, Ohio, 2008 (GPA 3.76 out of 4).
Master of Business Administration, Baldwin Wallace University, Cleveland, Ohio, 2001 (GPA 3.97 out of 4).
“The Resurgence of Ponzi Schemes: Lessons for Inadvertent Participants”
The Law Journal of the Cleveland Metropolitan Bar Association, January 2010
Professional Activities, Awards, Community Involvement
Honorary Consul General of Romania in Ohio
Cleveland Metropolitan Bar Association
Bar Admissions Committee, CMBA
Unlicensed Practice of Law Committee, CMBA
Public Investor Arbitration Bar Association
Amicus Curiae Committee, PIABA
- co-authored amicus briefs filed by PIABA in securities cases;
- recipient of recognition awards from PIABA, for 2008-2009 and 2009-2010.
Cleveland-Marshall College of Law’s Solo and Small Practice Committee
Consular Corps of Cleveland
Alan’s direct contact information:
- (216) 570-0097
- (888) 411-0038
Daniel J. Carr
Daniel practices in the areas of commercial litigation, securities arbitration, insurance disputes, and class actions.
Daniel graduated summa cum laude from Tulane University Law School in 2006. At Tulane, he served as Senior Articles Editor for the Tulane Law Review and was a fellow in the Legal Analysis program. Before attending law school, Daniel received a B.A. in English from the University of New Orleans, where he was a Patrick F. Taylor National Merit Scholar.
Prior to joining the firm, Daniel served as a law clerk to the Honorable Jacques L. Wiener, Jr., of the United States Court of Appeals for the Fifth Circuit and practiced at a commercial litigation firm in New Orleans.
Jason J. Kane
Jason J. Kane is a securities attorney practicing out of the firm’s Upstate New York office. He has extensive experience representing investors in Financial Industry Regulatory Authority (“FINRA”) arbitrations and New York State Courts. Jason has strong ties to the Upstate New York region having been born and raised in Syracuse, New York. In 2007, after passing the New York State bar exam, Jason moved to Rochester, New York to begin his legal career.
Jason graduated from the State University of New York at Geneseo in 2004 having earned his B.A. in Economics. Thereafter, Jason attended the Syracuse University College of Law, and received his Juris Doctorate, Cum Laude, in 2007.
While attending the Syracuse University College of Law, Jason served as a form and accuracy editor for the Syracuse Journal of International Law and Commerce. He also gained valuable experience as a student law clerk for Magistrate Judge George H. Lowe and served as a volunteer at the United States Attorney’s Office in the Northern District of New York where he assisted the Assistant United States Attorneys prosecute their cases.
Following law school, Jason began his career working in the Legal Department of Wegmans Food Markets, Inc. – one of Upstate New York’s largest employers. At Wegmans, Jason worked with the finance, real estate and human resources departments as well as the outside attorneys who provided legal services to Wegmans.
In 2009, Jason left Wegmans to become a securities attorney. Since that time, Jason has represented hundreds of investors in Upstate New York and around the country in some of the highest profile securities cases originating out of Upstate New York. He has recovered millions of dollars in FINRA arbitration and mediation while representing individuals against their former brokers and brokerage firms. He often assists his victimized clients through the regulatory investigations that result from the large scale scams perpetrated by their unscrupulous brokers.
Jason takes great pride in his ability to lead his clients through the process of restoring their financial losses suffered through their broker’s fraud or negligence.
Western District of New York
Jason’s direct contact information:
T: (585) 310-5140
F: (504) 523-2464