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Defamed Stockbroker Recovers $1.15 Million against Former Brokerage Firm
A National Association of Securities Dealers Dispute Resolution (NASDDR) arbitration panel has awarded a former Wells Fargo Securities Inc. financial consultant damages resulting from her termination and defamation on her Form U-5 (CRD employment record).
The panel also ordered that the firm amend the U-5 to reflect that the broker "was arrested and indicted because of an error committed by Wells Fargo Bank and through no fault of" the broker.
Source: Wall Street Journal, November 19, 2002
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Sponsored by James J. Eccleston, an attorney representing stockbrokers, financial planners and
investors nationwide in arbitration, litigation and regulatory matters, and a shareholder with the law firm
Shaheen, Novoselsky, Staat, Filipowski & Eccleston
P.C.(www.snsfe-law.com). This Web site contains material
of general interest. It is neither intended to, nor constitutes, either legal advice or investment advice.
Always consult an attorney and/or investment advisor when building and protecting your wealth.
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