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...

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

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...