Securities
Breach of Contract
Breach of Fiduciary Duty
Roberta Jessop and Raymond Eugene and Roberta Paula Jessop Revocable Trust v. Pruneyard Financial Group Inc., Sheldon Harlan Schumaker and Western International Securities Inc.
Published: May 11, 2013 | Result Date: Apr. 25, 2013 | Filing Date: Jan. 1, 1900 |Case number: 11 -03992 Arbitration – Expungement Denied
Court
FINRA
Attorneys
Claimant
Brett A. Alcala
(Alcala Law Firm)
Respondent
Andrew D. Castricone
(Gordon & Rees LLP)
Facts
Robert Jessep filed suit against Pruneyard Financial Group Inc. and others, asserting causes of action for breach of contract, breach of fiduciary duty, fraud and negligent misrepresentation, failure to supervise and respondeat superior. The causes of action related to Jossep's investments in Agnico Eagle Mines, Barrick Gold Corp, Goldcorp, SPDR Gold, and other unspecified securities.
The matter proceeded to arbitration.
Result
The arbitration panel denied the respondent's request for expungement. All other relief was denied.
#87898
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