Fraud, Negligence, Breach of Contract, Breach of Fiduciary Duty, FINRA Arbitration

DEFENDED former owner of investment banking firm in an NASD (now FINRA) arbitration where he was being sued personally for over $500,000, inclusive of fees and costs, by a former client of firm.

Result

Plaintiff awarded only $7,410 plus nominal fees.

Time to Resolution

1 month

How was case resolved?

Arbitration judgment for less than 2% of plaintiff’s complaint

Represented

Defendant

Area of Law

Business

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