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Case Results

NASD (now FINRA) Arbitration

Initiated an NASD (now FINRA) arbitration action on behalf of a private investment account holder against a national broker-dealer and one of its registered representatives for allegedly engaging in market trades that were unauthorized, unsuitable and for churning resulting in massive account losses. The claims were settled at a mediation on terms that were very satisfactory to our client.

Hance Law Firm, LTD

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