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Attorney obtained a complete denial of all of the investor's claims after a three-day Financial Industry Regulatory Authority arbitration hearing

Attorney obtained a complete denial of all of the investor's claims after a three-day Financial Industry Regulatory Authority arbitration hearing. The arbitration panel specifically found that the registered representative (our client) owed no fiduciary duty to the investor; that the securities he sold to the investor were suitable; and that there was insufficient credible evidence of any misrepresentations on his part. The arbitrators also took the very rare step of ordering an expungement this matter from the advisor's Central Registration Depository records.

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