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Securities Arbitration

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:

  • Account overtrading (churning)
  • Unauthorized trading
  • Market manipulation
  • Mutual fund share class violations
  • Negligence
  • Breach of fiduciary duty
  • Omission of facts
  • Misrepresentation/fraud
  • Breach of contract
  • Unsuitability
  • Failure to supervise

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

  • Co-counsel for 31 investors in an arbitration proceeding 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.