Quantcast
Home / Opinion Digests / Panel did not disregard law in ruling for investors (access required)

Panel did not disregard law in ruling for investors (access required)

Where a broker executed trades on investors’ portfolio margin accounts in clear violation of a rule of the Financial Industry Regulatory Authority Inc., or FINRA, the arbitration panel did not manifestly disregard the law by imposing liability against the broker, calculating damages or awarding attorneys’ fees. Background After several investors suffered significant losses during a period of ...