Brad A. Baggarly, SEP-IRA v. Charles Schwab & Co. Inc.
Published: Jul. 2, 2011 | Result Date: May 9, 2011 | Filing Date: Jan. 1, 1900 |Case number: 10-02919 Arbitration – Expungement
Court
FINRA
Attorneys
Claimant
Thomas D. Mauriello
(Mauriello Law Firm APC)
Respondent
Garrett R. Wynne
(Charles Schwab & Co. Inc.)
Facts
Brad Baggarly, SEP-IRA filed a complaint against Charles Schwab & Co. Inc. related to Baggarly's investment in the Schwab YieldPlus Fund.
Damages
Claimant sought $34,478 in compensatory damages and/or a rescission of his investments as well as interests, fees, attorney fees and costs, punitive damages, and other relief.
Injuries
Claimant asserted the following causes of action: negligence; breach of fiduciary duty; breach of contract; negligent misrepresentation; fraud and deceit; violation of the California Business & Professions Code; and violations of the California Corporations Code.
Result
The parties settled the matter on or about Jan. 14, 2011, and the Panel recommended expungement of a non-party's records.
For reprint rights or to order a copy of your photo:
Email
jeremy@reprintpros.com
for prices.
Direct dial: 949-702-5390