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I get just as excited about a $15,000 win by the University of San Francisco School of Law’s Investor Justice Clinic (“IJC”) as I do by a six-figure recovery at my securities law firm.

On October 30, 2017, an arbitrator with the Financial Industry Regulatory Authority (FINRA) awarded $14,750 plus interest to a 63-year-old woman from Lake Forest, California who was invested in a risky and unsuitable investment strategy that involved commodities futures.  Given the small dollar amount involved and the level of effort required to pursue this case, it is doubtful that the customer would’ve been able to afford to hire an experienced securities arbitration lawyer.

FINRA’s Simplified Arbitration Process

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