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California FINRA Arbitration

Published: May 11, 2015

California FINRA Arbitration 

The attorneys at Pastore & Dailey LLC  successfully represented Los Angeles based broker-dealer in the prosecution of a FINRA arbitration in California seeking the collection of a contractually earned broker dealer’s investment banking fee.   The issuer represented by our client claimed that the investment banking fee was not owed, but ultimately satisfied the fee obligations by transferring equity in the company to the broker-dealer as payment.