Newsroom - April 2010
Bob Brennan and Cinnamon Davis recently convinced arbitrators in two separate FINRA securities arbitrations to dismiss, prior to the final evidentiary hearings, all claims brought against a broker-dealer and a mutual fund manager. Despite the fact that FINRA's own rules state that pre-hearing motions to dismiss "are discouraged[,]" Bob and Cinnamon were able to convince the arbitrators in both cases that the claims were so meritless that an evidentiary hearing was not needed. In addition, the claimants in both cases were assessed FINRA forum fees by the arbitrators.
