A FINRA Arbitrator awarded one of our clients a monetary award of $20,000 in FINRA Dispute Resolution Case 16-03645 which we filed against a broker based upon a claim overconcentration of the account in Groupon stock. If you have lost money in the stock market, you...
LAW OFFICE OF BRADLEY D. SCHNUR, ESQ. P.C.
New York News And Law Blog
Faulty FINRA Arbitrator Disclosure May Be Basis To Vacate Award
Law Office quoted in Article from Financial Advisor IQ (subscription may be required) https://financialadvisoriq.com/c/2091953/247633/advisor_cries_foul_over_finra_arbitration_disclosures?referrer_module=mostPopularEmailed&module_order=3
Firm’s Client Awarded $32,100.00 After FINRA Arbitration Hearing
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...