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24 Aug 2014, 1:18 am
The claimant's applications were initially denied and then, upon reconsideration, denied again. [read post]
8 Jan 2014, 2:08 pm
Hansen’s common law claim (bad faith), the jury found that the insurance company did not “unreasonably deny payment of [the claimant's] insurance claim,” or “know its denial of such claim was unreasonable,” or “recklessly disregard the fact that its position was unreasonable”; and, although the claimant had incurred damages, the insurance company's denial of... . [read post]
13 Mar 2017, 5:00 am
Claimant requested in excess of $5,000,000.00 in compensatory damages, $198,360.00 in commi... [read post]
25 May 2014, 3:04 am
, Claimant, vs. [read post]
5 Apr 2019, 10:54 am
In the Matter of the Arbitration Between Jefferies, LLC, Claimant/Counter-Respondent, v. [read post]
30 Jan 2020, 12:46 am
In the Matter of the Arbitration Between Haider Sharifi, Claimant, v. [read post]
15 Oct 2013, 2:33 pm
Notice must also be sent to the first-party claimant after each additional 45-day period until the insurer either affirms or denies coverage and damages. [read post]
11 Apr 2014, 4:26 am
In today's BrokeAndBroker.com Blog, we report about yet another bit of collateral damage in which a lowly associate gets caught up in the litigation and regulatory meat grinder that has become the legacy of ARS. [read post]
9 Jul 2014, 9:54 am
This stockbroker wasn't named in the public customer's FINRA Arbitration Statement of Claim caption. [read post]
15 Mar 2018, 6:43 am
Claimant sought $3 million in compensatory, punitive, and e... [read post]
23 Apr 2021, 3:54 am
Brokerage Firm's Third-Party Complaint Against Its Former CEO Remanded to FINRA Arbitration (BrokeAndBroker.com Blog)SEC Obtains Emergency Relief, Charges Florida Company and CEO with Misappropriating Investor Money and Operating a Ponzi Scheme (SEC Release)Carthage Man Pleads Guilty to Telemarketing Crimes / International Ring Worked Sophisticated Tech Support Fraud (DOJ Release)FINRA Arbitrator Recommends Expungement of Non-Existent Customer ComplaintIn the Matter of the Arbitration… [read post]
4 Apr 2014, 2:57 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2013, public customer Claimant de Groot alleged that he had sustained losses when attempting to sell shares of Apple stock “through Respondent’s interactive voice response system.” In addition to seeking costs and attorneys’ fee, Claimant de Groot asked for the following relief:Rewinding of the e... [read post]
16 Oct 2014, 11:36 am
Claimant asserted that Respondent Edward Jones breached his employment agreement and purpo... [read post]
21 Oct 2015, 10:13 am
Claimant sought $200,000 in compensatory damages plus interest, attorneys’ fees, ... [read post]
5 Apr 2014, 6:12 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2013, public customer Claimant de Groot alleged that he had sustained losses when attempting to sell shares of Apple stock “through Respondent’s interactive voice response system.” In addition to seeking costs and attorneys’ fee, Claimant de Groot asked for the following relief:Rewinding of the e... [read post]
24 Sep 2014, 9:00 am
In the order determining the award (which is heavily redacted to protect the identity of the whistleblower), the SEC commented that the claimant’s “delay in reporting the violations” was “unreasonable. [read post]
9 Apr 2021, 6:00 am
Adding insult to injury, the Court wasn't all that impressed with Claimant's arguments or the manner in which some were presented. [read post]
31 Mar 2021, 9:30 am
Morgan S... [read post]
12 Jan 2015, 1:01 am
Basically, this is a peer review process whereby the person in the next cubicle will rubberstamp their co-worker's denial. [read post]
29 Jan 2021, 6:48 am
FINRA's expungement process routinely comes under attack from all quarters. [read post]
