Carmela Di Gregorio v. Oppenheimer & Co. Inc., Ronald Kunze
Published: Jan. 7, 2012 | Result Date: Dec. 13, 2011 | Filing Date: Jan. 1, 1900 |Case number: 10-00502 Arbitration – Dismissal
Facts
Carmela Di Gregorio entered into arbitration with Oppenheimer & Co. Inc. and Ronald Kunze regarding alleged mishandling of Gregorio's account.
Contentions
CLAIMANT'S CONTENTIONS:
Gregorio alleged negligence, breach of fiduciary duty, constructive fraud, fraud and deceit, as well as failure to supervise, securities violations, and breach of contract.
RESPONDENTS' CONTENTIONS:
Oppenheimer and Kunze denied the allegations, asserting various affirmative defenses.
Damages
Gregorio sought compensatory and consequential damages as well as disgorgement and restitution, rescission, lost opportunity cost, and attorney fees.
Result
The arbitration panel dismissed Gregorio's claims and recommended expungement from Kunze's registration records.
Other Information
ARBITRATORS: Elizabeth A. Copley, John E. Ohashi, Andrew C. Wahrenbrock.
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