On June 29, 2020 a FINRA Arbitration Panel awarded our client, located in Iowa, a monetary award of $69,250.00 in FINRA Dispute Resolution Case 18-01679. This case was filed against a brokerage firm and broker based upon a claim of overconcentration, unsuitability and commission abuse in the brokerage account. A copy of the Award can be found here.
If you have lost money in the stock market, you may have been the victim of broker misconduct. Contact our office at 516-932-4400 for a free initial consultation.