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Major Broker-Dealer Defeats High Stakes FINRA Action

Posted By Renecca Allen, Friday, October 7, 2016

MWH Law Group LLP recently successfully defended a major broker-dealer in a Financial Industry Regulatory Authority (FINRA) arbitration by a former financial advisor alleging, among other things, wrongful discharge, defamation and tortious interference with prospective relations. The financial advisor sought more than $7 million in damages and U5 expungement. The arbitration panel denied each and every claim. Continue Reading...

 

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