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Broker-Dealer › Attorney's Fees

Allen Matkins

Unlicensed Broker-Dealers And Investment Advisers Face Treble Damages

Allen Matkins on

In Yokell v. Draper, 2018 U.S. Dist. LEXIS 117427, U.S. Magistrate Judge Jacqueline Scott Corley wrote that "California Code of Civil Procedure section 1029.8 provides a private right of action for persons harmed by...more

Carlton Fields

FINRA Panel Did Not Exceed Authority Or Manifestly Disregard Law By Failing To Award “Prevailing Party” Attorney’s Fees

Carlton Fields on

A broker sought to vacate his FINRA compensatory damages award against a broker/dealer because the award did not include his attorney’s fees. The broker believed he was entitled to those fees as the “prevailing party” within...more

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