FINRA仲裁小组订购的高级股票向前经纪人支付450万美元 - 投资者律师博客 - 2012年6月12日

A Financial Industry Regulatory Authority arbitration panel has ordered Advanced Equities, CEO Dwight Badger, and Chairman Keith Daubenspeck to pay one of their former brokers $4.5 million in compensatory damages. The ex-broker, John Galinsky, had accused all three of them of not paying certain commissions on his work to raise capital for clients, such as Alien Technology, Bloom Energy, Arbinet (ARBX), ForceIO Networks, Infinera, (INFN), Motricity (MOTR), and Peregrine Semiconductor (PSMI). He also made claims of unjust enrichment, breach of contract, retaliatory discharge, and fraudulent inducement. Daubenspeck and Badger cofounded Advanced Equities.

The FINRA arbitration panel awarded Galinksy $3.47 million in actual damages, $347,000 in interest, $211,314 in other costs related to trial, and $500,000 in punitive damages-the last due to the investment banking boutique showing a “reckless disregard” for the broker’s warrant rights while breaching its fiduciary duties to him. Additionally, Advanced Equities must pay FINRA $61,650 in session fees. (There were 51 pre-hearing and hearing sessions took place between June 2010 and April 2012, which is after Galinsky went to arbitrators.)

Advanced Equities is a Chicago-based investment firm. It makes late-stage venture capital investments in tech companies. Just last January, the Securities and Exchange Commission sent Wells notices to Badger and Daubenspeck letting them know they could face federal enforcement action over a 2009 private offering.

加林斯基在高级股票的零售经纪人部门工作了10年。他现在与国家证券公司合作。bob200体育

对金融公司有仲裁索赔的经纪人
“In 1972, financial firms instituted mandatory arbitration to resolve disputes between financial firms and disputes between those firms and their representatives. During the 1980’s mandatory arbitration agreements with clients of securities firms were enforced by the courts,” saidFINRA仲裁律师William Shepherd。“Today, while the vast majority of securities arbitration actions are between investors and firms, each year hundreds of disputes between securities firms, and between those firms and their brokers, are also resolved in arbitration.”

其中，帕特里克·M·门登霍尔（Patrick M. Mendenhall）提出了瑞银金融证券bob200体育。去年，FINRA仲裁小组命令该金融公司向其前经纪人支付350,000美元的补偿性损失，并支付6％的利息，直到支付金额为止。前瑞银一家经纪人门登霍尔（Mendenhall）曾寻求有关据称未付递延薪酬和未使用的度假时间的决议

前先进的股票经纪人获得450万美元，财富管理，2012年6月3日

FINRApanel orders Advanced Equities to pay $4.5 mln, Reuters, May 21, 2012
前瑞银经纪人以380万美元的延期及未使用的休假时间起诉公司，福布斯，2011年11月28日

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除了代表投资者寻求因投资公司不当行为而造成的损失的仲裁的投资者外，我们的证券律师事务所还代表了众多与证券公司纠纷的注册证券人士。bob200体育“向投资代表授予数百万美元的奖励在证券仲裁中并不少见。”bob200体育FINRA证bob200体育券律师William Shepherd。

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