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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.



Your team of lawyers at D’Ambrosio are here to work with and for you, every step of the way.

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