On August 7, 2025, Lax, Neville & Intelisano, LLP won a FINRA arbitration award on behalf of James Dean (“Claimant”) against J.P. Morgan Securities LLC (“JP Morgan”) for claims involving unpaid incentive award cash compensation, deferred compensation restricted stock units (RSUs) and severance. Claimant asserted causes of action against JP…
Arbitration at FINRA has long been known as a quicker, more efficient alternative to court litigation of disputes eligible for submission to FINRA’s Dispute Resolution forum. This continues to be true, to an even greater extent, during the COVID-19 pandemic. Many courts at the federal and state levels, both in…
A Miami-based FINRA arbitration panel has ruled that two former financial advisers of Barclays do not have to repay a total of over $3.8 million allegedly owed by them pursuant to promissory notes executed in connection with signing bonuses, despite the fact that they left the firm. According to a…
An employment arbitration award worth $4.1 billion was confirmed this week by the Los Angeles County Superior Court. The arbitration was heard before JAMS and the defendants included iFreedom Communications International Holdings, Limited, and its founder, Timothy Ringgenberg. This is one of the most significant employment awards ever rendered in…