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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 against our client that, if successful, would have destroyed his business.  The broker-dealer alleged our client  improperly moved to the competing broker-dealer, raided advisors, and breached his contractual and fiduciary duties.

After more than a year of aggressive litigation, we obtained a highly favorable result that fully resolved all of the claims and resulted in dismissal of the case with no money damages against our client.  Today his business is thriving.

 

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