Securities

two female executives working at a laptop

FINRA Arbitration Win

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

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two female executives working at a laptop

FINRA Arbitration Win

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

Read More »

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