RECENT ARBITRATIONS

  1. Single arbitrator in international arbitration using ad hoc rules, seated in Vancouver, BC, in claim for damages for breach of obligations not to compete, and appropriation of intellectual property for the purpose of competing with former employer pursuant to employment contract.  Cross claim for unpaid compensation.

     

  2. One of three-member panel under FINRA (U.S. Financial Industry Regulation Authority) Rules, seated in Seattle, WA, for unspecified damages against broker-dealer for common law fraud, negligence, breach of fiduciary duty, misrepresentation, violation of state securities laws, violation of FINRA rules, negligent failure of supervision.  Cross Claim by broker-dealer for indemnification, allocation of responsibility, contribution and control person liability.

    One of three-member panel under FINRA Rules, seated in Seattle, WA, in claim against broker for damages and punitive damages for misrepresentation and negligence, and for breach of fiduciary duty in administering discretionary trading account by purchasing high risk, speculative stocks, contrary to securities statutes and instructions, and claim of negligent supervision of agent by brokerage.

    One of three-member panel under FINRA Rules, seated in Seattle, WA,
     in claim against brokerage by broker for damages for inducing broker to leave previous employment, failing to provide client services, and damaging the broker's reputation, and for indemnification against award obtained by a previous employer against the broker, with a counterclaim by the brokerage for recovery of bonus and commissions.

     

  3. Single arbitrator under ICDR (International Centre for Dispute Resolution) Rules, seated in Calgary, AB, in claim for termination of commercial franchise agreement and collateral remedies.

     

  4. One of three-member panel under FINRA Rules, seated in Seattle, WA, in claim against broker for breach of fiduciary duty, fraud, negligent misrepresentation, breach of MSRB and NASD duties in relation to sale of derivative securities to municipal bond issuer and subsequent administering of auction of securities that periodically set variable interest rates on securities.

     

  5. Single arbitrator under ICDR International Rules, seated in Regina, SK, for Expedited Procedures for damages for breach of supply contract.

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