The attorneys at Pastore & Dailey LLC successfully represented Los Angeles based broker-dealer in the prosecution of a FINRA arbitration in California seeking the collection of a contractually earned broker dealer’s investment banking fee. The issuer represented by our client claimed that the investment banking fee was not owed, but ultimately satisfied the fee obligations by transferring equity in the company to the broker-dealer as payment.
Tags: Firm Victory, Joseph Pastore, Securities
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