EXPLAINED AWARD: SOFIA v. FROSS, AAA ID #01-16-0002-6358 (Leesburg, FL, 11/27/17).
This week, we follow up our recent review of a lengthy AAA Award in a customer dispute against a broker-dealer (SAA 2017-45) with a shorter,
It is appropriate for a court in a SEC enforcement proceeding to authorize the receiver of a defendant entity to distribute to each investor an inflation adjustment based on the Consumer Price Index.
The “amount in controversy” for FAA federal jurisdiction is determined by what was demanded in the underlying arbitration,
Martin v. Wells Fargo Advisors LLC, FINRA ID #14-02593 (Atlanta, GA, 12/16/15).
It’s been our observation that Explained Awards in customer-initiated cases occur primarily when the customer loses.
No. 11 C 8028 (N.D. Ill., 4/22/14). Account Administration * Bankruptcy/Insolvency Issues * Damage Calculations * Conversion/Misappropriation * Unauthorized Trading * State Statutes Interpreted (Uniform Commercial Code (§8-115)) * Trusts &