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  • Securities & Corporate Governance Litigation

Securities Broker-Dealer FINRA Arbitration

Case No. 10-05313FINRAWashington

Defended securities broker-dealer in case brought by elderly couple represented by premier national “selling away” counsel after securities regulators had permanently suspended former representative terminated by firm. Client firm refused to meet settlement demand that was nearly twice what client firm was willing to pay. Award was almost exactly as predicted, and little more than half the claimants’ last settlement demand.

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