Adolfo J. Anzola
Adolfo J. Anzola’s practice focuses on representing investors in securities arbitration and litigation. Adolfo has received a Martindale Hubbell Preeminent “AV” Rating, the highest ratings given for general ethical standards and legal ability. Adolfo has extensive experience in representing clients in arbitration before the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). Adolfo has also represented, and is currently representing, aggrieved investors in class actions in federal court. Adolfo has successfully represented hundreds of investors throughout the United States and Latin America with combined claims of hundreds of millions of dollars. Adolfo strives to achieve the most effective results for his clients in the most efficient manner possible.
Upon graduating from law school, Adolfo served as a law clerk for the Honorable Susan L. Reisner in New Jersey Superior Court, Passaic County, Law Division. After his one-year clerkship, in 1998, Adolfo joined the New Jersey Attorney General’s Office as a Deputy Attorney General, where he represented and advised the New Jersey Bureau of Securities in administering and enforcing New Jersey’s Uniform Securities Law, dealing primarily with enforcement litigation concerning fraudulent practices and administrative proceedings concerning registration, suspension, and revocation of broker-dealers and brokers. While serving as a Deputy Attorney General, he obtained a judgment of $3 million in civil penalties and restitution against Millennium Interactive Technologies Corp., the fifth largest judgment in the Consumer Affairs Bureau of Securities’ history, at that time. Adolfo also assisted in prosecuting a matter involving penny stock promoter Robert E. Brennan, which resulted in the largest judgment received in the Bureau’s history at the time.
Adolfo left public service in 2002 to join a New York law firm, where he concentrated his practice on securities defense litigation, arbitration, and securities regulatory matters. His career in private practice has also focused on professional liability litigation, including claims against attorneys and insurance professionals. In 2005, he moved with his family back to his home town of Miami, Florida, where he worked as a Senior Associate at Wilson Elser, a large international law firm. His practice at Wilson Elser focused exclusively on representing brokers and broker-dealers in arbitration, in court, and before self-regulated organizations. In October 2007, Adolfo left Wilson Elser to join a spin-off firm established by two former Wilson Elser attorneys, where he continued to represent brokers and broker-dealers in arbitration. In August 2008, Adolfo decided to return to his original roots, representing investors; and he has being doing so ever since.
Paula Casper, et al. v. Gary Gross, et al., FINRA Case No. 06-04334: Helped obtain a $7 million FINRA arbitration award against former UBS Financial Services, Inc. broker Gary Gross, one of the largest arbitration awards ever entered against an individual broker.
Merle Allen, et al. v. CapWest Securities, Inc., FINRA FINRA Case No. 09-06962: Helped obtain over a $9 million FINRA arbitration award against CapWest Securities, Inc. for Claimants who had invested in fraudulent private placements.
McCoy, et al. v. Securities America, Inc., et al., Case No. SACV 10-2145: Served as counsel to claimants in FINRA arbitration and plaintiffs in a consolidated securities class action in federal court on behalf of investors who purchased Ponzi schemes recommended and sold by Securities America (a subsidiary of Ameriprise Financial during the time of the action) and other financial institutions. Helped obtain a settlement of approximately $150 million, collectively, for the plaintiffs and the arbitration claimants.
Areas of Practice
- Securities Arbitration and Litigation
- Securities Class Action Litigation
- Domestic and International Arbitration & Mediation
- SEC Whistleblowers