Category: Mismanagement of Trusts

FINRA Arbitration What To Expect And Why You Should Choose Our Law Firm
Jun 20, 2026

Finra Arbitration: How Does it Work, How Long Does it Take, & More

FINRA arbitration can help investors recover losses, but results depend on preparation and strategy. Our attorneys conduct a detailed case review, draft a fact-rich Statement of Claim, and manage arbitrator selection, discovery, mediation, and hearing presentation. We focus on evidence, deadlines, and damages analysis so clients know what to expect from start to award today.

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Investors With “Blown-Out” Securities-Backed Credit Line and Margin Accounts How do You Recover Your Investment Losses
Dec 22, 2025

Inversores con cuentas de margen y líneas de crédito respaldadas por valores "reventadas": ¿Cómo recuperar sus pérdidas de inversión?

If your securities-backed credit line or margin account was hit with margin calls and liquidated, recovery focuses on what your advisor recommended and disclosed before the account opened—not the liquidation itself. Misrepresentations, unsuitable leverage for conservative investors, and concentration can support claims. Investors often must pursue FINRA arbitration or mediation to seek reimbursement and fees.

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Dec 17, 2025

Laudo arbitral Kazma Citigroup

A FINRA arbitration panel found Citigroup Global Markets, Inc. and Citigroup Alternative Investments, LLC liable, jointly and severally, for negligent management and negligent supervision. The panel awarded compensatory damages of $908,648.00 to the Gerald J. Kazma Revocable Trust and $908,648.00 to Amzak Capital Management, LLC, while denying pre-judgment interest and punitive damages in this dispute.

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5 de agosto de 2020

UBS Financial Services, Inc. Demandado por la presunta mala conducta de un asesor de Florida y Ohio en relación con una estrategia de inversión de línea de crédito

UBS Financial Services, Inc. is being sued over alleged misconduct by a financial advisor in its Florida and Ohio offices for recommending an unsuitable credit-line investment strategy to an elderly widow. The complaint alleges breach of fiduciary duty, misrepresentation, unsuitable leverage, and negligent supervision tied to securities-backed lending and resulting losses.

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