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Abuse of Power Financial Industry Regulatory Authority (FINRA)

Carlton Fields

Court Denies Petition to Vacate Arbitration Award Based on Judicial Estoppel

Carlton Fields on

This case arises out of plaintiff John B. Napoleone’s failure to repay a sign-on bonus of $100,000 to his former employer, defendant S2K Financial LLC, under the terms of his employment agreement. S2K commenced an arbitration...more

Carlton Fields

Fifth Circuit Affirms Confirmation of Arbitration Ruling in Favor of Ameriprise Financial

Carlton Fields on

The Fifth Circuit affirmed the confirmation of an arbitration ruling in favor of Ameriprise Financial Services Inc. In 2015, Ameriprise sought a temporary restraining order against Jeremy Walker, a former employee of an...more

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