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Firm’s Client Awarded $32,100.00 After FINRA Arbitration Hearing

On Behalf of | Nov 20, 2018 | Firm News |

In FINRA Case 17-2508, our client asserted the following causes of action: unsuitability, churning, commission abuse, fraud, fraudulent misrepresentation, and breach of fiduciary duty.  We settled the claim as against 3 of the 4 broker Respondents and proceeded with a hearing against the remaining broker.  After considering the pleadings, the testimony, and the evidence presented at the hearing, the Arbitrator awarded our client $32,100.00 in compensatory damages.