D’Ambrosio LLP successfully obtains a No Action Letter for our client following a three-year investigation by FINRA’s Department of Enforcement. Nationally, FINRA has focused on the sales of fraudulent instruments by Future Income Payments, LLC (FIP) of Nevada. Numerous financial professionals have been indicted or disciplined for the sale of FIP products across the United States. Through an exhaustive investigation,
Client Saves Business in FINRA Arbitration. Our Securities Practice team recently achieved a victory for a key executive associated with a national broker-dealer in a hard-fought FINRA arbitration. When a national broker-dealer breached its contract with our client, he resigned and aligned himself and his more than 100 financial advisors with another broker-dealer. The former broker-dealer retaliated with significant claims
Arbitration Win in Dispute with Former Employee. Our Securities Practice team won a substantial FINRA arbitration award on behalf of an investment bank in a dispute with one of its former financial advisors concerning a loan. Our team brought claims following the former advisor’s failure to pay back the principal and accrued interest at the end of his employment with
D’Ambrosio LLP successfully obtains a No Action Letter for our client following a three-year investigation by FINRA’s Department of Enforcement. Nationally, FINRA has focused on the sales of fraudulent instruments by Future Income Payments, LLC (FIP) of Nevada. Numerous financial professionals have been indicted or disciplined for the sale of FIP products across the United States. Through an exhaustive investigation,
Client Saves Business in FINRA Arbitration. Our Securities Practice team recently achieved a victory for a key executive associated with a national broker-dealer in a hard-fought FINRA arbitration. When a national broker-dealer breached its contract with our client, he resigned and aligned himself and his more than 100 financial advisors with another broker-dealer. The former broker-dealer retaliated with significant claims
Arbitration Win in Dispute with Former Employee. Our Securities Practice team won a substantial FINRA arbitration award on behalf of an investment bank in a dispute with one of its former financial advisors concerning a loan. Our team brought claims following the former advisor’s failure to pay back the principal and accrued interest at the end of his employment with