NASD Dispute Resolution Award

FINRA award - Scaven

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Claimant asserted the following causes of action, among others: Negligence, unsuitability, breach of contract, violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law, and breach of fiduciary duty. The causes of action relate to the purchase and sale of various securities including, but not limited to: Amazon, Amerco, Ser, AMgen, Inc., Bethlebem Stell, AOL, Chase, Cisco Systems, Conagra, EMS Corp Mass, Exodus, and IBM.

Unless specifically admitted in their Answer, Respondents denied the allegations made in the Statement of Claim.

Respondents asserted the following cause of action in their Third-Party claim: that Third-Party Respondent exerted undue influence over Claimant.

Unless specifically admitted in his Answer, Third-Party Respondent denied the allegations made in the Third-Party Claim.

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Reference Info:Verdict | State, D.C. Circuit, D.C. | United States


DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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