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Compensatory Damages Broker-Dealer

UB Greensfelder LLP

TD Ameritrade Latest Victim Of Head-Scratching Arbitration Award

UB Greensfelder LLP on

I was catching up on my reading and came across a column in Investment News by Mark Schoeff that described the results of a recent FINRA arbitration, results which I found a bit alarming. I caution you: reading too much into...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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