Successfully defended a national investment advisor affiliate and its principals against a $7.5 million claim in a FINRA arbitration involving civil RICO claims and additional claims for unfair trade practices, defamation, breach of contract, tortious interference, conversion, and statutory theft. After 39 days of hearings, the dispute culminated in a defense decision ordering the claimant to pay over $1.1 million to our clients on the counterclaims, which amount included punitive damages and attorneys’ fees.
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