Damien Moore v. Charles Schwab & Co. Inc.
Published: May 26, 2012 | Result Date: Apr. 17, 2012 | Filing Date: Jan. 1, 1900 |Case number: 10-02727 Arbitration – Equitable Settlement
Court
FINRA
Attorneys
Claimant
Thomas D. Mauriello
(Mauriello Law Firm APC)
Respondent
Gordon C. Young
(Barr & Young Attorneys)
Facts
Damien Moore filed a complaint against Charles Schwab & Co. Inc. alleging negligence; breach of fiduciary duty; breach of contract; negligent misrepresentation; fraud and deceit; and various violations of California Business & Professional Code and Corporations Code. The causes of action relate to Moore's investment in Schwab California Tax-Free YieldPlus Fund.
Injuries
Moore sought compensatory damages of at least $121,000, or a rescission. He also sought interest, attorney fees and costs, exemplary or punitive damages, and other relief.
Result
The parties agreed to settle the matter. The Panel then recommended expungement of a non-party's records. All other relief was denied.
Other Information
ARBITRATORS: Sally G. Williams, Ronald N. Roth, William L. Erwin.
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