Experience
Representing Broker-Dealers and Registered Representatives in FINRA Arbitration Matters
Representing broker-dealers and their registered representatives in more than 40 FINRA arbitration matters. Multiple matters tried to award in FINRA arbitration and others resolved via mediation and settlement during course of pre-hearing litigation.
Dismissal of Potential Multimillion-Dollar Class Action
Obtained dismissal of a class action suit on appeal against our client over an alleged violation of the Fair Credit Reporting Act (FCRA). The decision helped the client avoid a potential liability of up to $1,000 per violation (i.e., per applicant/employee) over the preceding five years, with total damages projected to be millions.
Defense, Resolution of Class Action Lawsuits under Fair Credit Reporting Act
Successfully defended and resolved a number of class action lawsuits against major corporations brought under the Fair Credit Reporting Act (FCRA) for alleged violations of the provisions of the FCRA applicable to employment background checks.
