Harvest & Rowe Inc. Retirement Plan v. Charles Schwab & Co. Inc.
Published: Jun. 1, 2013 | Result Date: May 17, 2013 | Filing Date: Jan. 1, 1900 |Case number: 12-01383 Arbitration – $17,384
Court
FINRA
Attorneys
Claimant
Brett A. Alcala
(Alcala Law Firm)
Respondent
Anthony L. Valenzuela
(Charles Schwab & Co.)
Facts
Harvest & Rowe filed suit against Charles Schawb & Co. Inc., asserting causes of action for breach of contract, breach of fiduciary duty, fraud and negligent misrepresentation, failure to supervise and respondeat superior, and violation of state and federal securities laws. The causes of action related to Harvest & Rowe's investment in the Janus Opportunistic Core managed account and Charles Schwab's handling of the account.
Damages
Harvest & Rowe requested $98,039 in net losses suffered.
Result
The arbitration panel found that Charles Schwab was liable to Harvest & Rowe for $17,384.
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