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Denial of FINRA Forum for Our Client.

We represented a compliance officer for a broker dealer and FINRA arbitrator in a case where he was sued in FINRA arbitration. The claims against our client included breach of fiduciary duty, fraud, wire fraud and misrepresentation, among others. The claim had previously been heard in FINRA arbitration against another party and again in Florida State Court. The Florida court dismissed the claim and ordered the plaintiff to file no further litigation related to the case. The plaintiff then filed again with FINRA, naming new parties, including our client, in an apparent attempt to avoid any res judicata issues. FINRA accepted our argument that the plaintiff should be denied a FINRA forum.

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