Ryan P. Romines v. Thomas Gavigan (former Ameriprise broker) (FINRA Arbitration No. 11-00633)
Following a lengthy dispute that was eventually decided by a FINRA arbitration Panel in San Francisco after four days of hearings stemming from the purchase of a sizeable book of business at Ameriprise from a departing advisor, the Law Offices of Montgomery G. Griffin’s client was awarded full interest on all commissions and income generated from the book of business. In addition, the counterclaim filed against the firm’s client was dismissed in its entirety.