Approximately two-thirds of all securities arbitrations are between broker-dealers and their clients.  The most common allegations of misconduct by a broker or a brokerage firm are:

Mr. Ebaugh’s notable representation in this practice area include the following:

• Co-counsel for 31 investors in an ad hoc arbitration against two limited liability companies and their managers.  Claims include fraud, breach of fiduciary duty, and unjust enrichment.
• Obtained a $449,603 arbitration award for a limited partnership which had alleged a breach of fiduciary duty claim against its broker-dealer.