Firm wins directed verdict in securities arbitration

February 2017 – KSR successfully defended a New York-based high-frequency trading firm and registered representative in a FINRA securities arbitration. The case involved allegations of fraud, negligence, breach of fiduciary duty, breach of contract, unsuitable investments and churning. At the conclusion of Claimant’s case-in-chief, the 3-person arbitration panel granted Respondents’ Motion for Directed Verdict. Jim Kopecky and Daryl Schumacherhandled the case for the firm.

Jamie Kimiko