Joanna Cottrell v. Woodridge Capital Portfolio Management LLC
Published: Sep. 24, 2016 | Result Date: Aug. 10, 2016 | Filing Date: Jan. 1, 1900 |Case number: 15-00887 Arbitration – Defense
Facts
Joanna Cottrell filed a claim against Woodridge Capital Portfolio Management LLC, in connection with her investments in unspecified mutual funds, common stock, and exchange-traded funds.
Contentions
CLAIMANT'S CONTENTIONS:
Claimant asserted causes of action for negligence, suitability, breach of contract, breach of fiduciary duties, misrepresentation and fraud, and failure to supervise.
RESPONDENT'S CONTENTIONS:
Respondent denied the allegations and asserted various affirmative defenses.
Damages
Cottrell sought, among other things, $514,505 in compensatory damages.
Result
The FINRA panel denied Cottrell's claims in its entirety and ordered her to pay $45,000 expert witness fees.
Other Information
ARBITRATORS: Anita Rae Shapiro, Daniel James Yee, Ronald F. Rybandt. FILING DATE: Nov. 18, 2014.
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