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Corporate & Securities Law
: FinancialCounselArbitrators Award Auction Rate Securities (ARS) Investor $2.5 Million
By James Eccleston
An arbitration panel has ordered two units of Raymond James Financial to buy back $2.5 million in auction-rate securities from an investor. FINRA ruled in favor of an investor who filed a claim in June 2009 alleging a breach of fiduciary duty and contract by Raymond James & Associates and Raymond James Financial Services. The panel also awarded the client an additional $86,000, plus 5% interest on the $2.5 million until Raymond James buys back the securities.
Source: WSJ.com
Full post as published by FinancialCounsel on August 02, 2010 (boomark / email).
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