Case: Madison

Pursuing Stockbrokers in FINRA Arbitration: What You Need to Know

June 18th, 2018

By: Edward D. Chapin and Charles H. Field Column Editor: Benjamin Coughlan In January 2018, a three-person FINRA arbitration panel awarded almost $2.2 million to a local San Diegan on claims that a local brokerage firm and its stockbroker had recommended an imprudent investment strategy, churned the account, and committed fraud. The award in Donna […]

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Sanford Heisler Sharp Files Claim Against Madison Avenue Securities for Breach of Fiduciary Duty, Negligent Supervision

April 18th, 2018

Suit Follows on $2.1 Million Award Obtained Against Madison Avenue Earlier This Year SAN DIEGO, April 18, 2018 /PRNewswire/ — Sanford Heisler Sharp, LLP has filed an arbitration claim with the Financial Industry Regulatory Authority (FINRA) against Madison Avenue Securities alleging the firm violated its basic duty to diligently supervise one of its stockbrokers who […]

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