Firm Secures Victory for Investment Advisors

Representing father-and-son investment advisors in New Jersey, the firm secured a 100% victory in a FINRA arbitration brought by a former customer. On the basis of our written submissions, including multiple detailed affidavits and dozens of exhibits, the arbitrator ruled that the customer’s claims lacked merit. And relying on those same submission, plus the sworn testimony of our clients, the arbitrator’s award also recommended that the customer’s complaint be expunged from our clients’ public records, since he found the complaint to be “clearly erroneous” and “false.”

Next, we will head to court to have the award confirmed so that FINRA can in fact expunge their records.

A copy of the award is here.

If you are a financial advisor who has been the target of a baseless customer complaint that now appears as a public mark on your record, please contact our firm to discuss how we can help defeat the claim and seek justice through the FINRA expungement process. You can contact us by calling 212.203.1249 or emailing kevin@galbraithlawfirm.com for a free, confidential consultation.