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NYGAARD PREVAILS AGAINST AMERIPRISE AND RECOVERS $776,000 FOR CLIENT
In October, 2013, Mrs. Nygaard prevailed against Ameriprise for a retired businessman. The Panel required Ameriprise to buy back...
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WINNING ARBITRATION AGAINST OPPENHEIMER
In August, 2011, Diane Nygaard arbitrated and won a case against Oppenheimer Securities for an investor who had a...
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DERIVATIVE KINDER MORGAN SHAREHOLDERS LITIGATION
Diane A. Nygaard was co-counsel in this shareholder derivative case that resulted in a $200 million class action settlement...
- Joint Statement on Broker-Dealer Custody of Digital Asset Securities
- FINRA Fines J.P. Morgan Securities LLC, $1.1 Million for Failing to Timely Disclose 89 Allegations of Misconduct over a Six-Year Period
- FINRA EVP of Office of Fraud Detection and Market Intelligence Cameron Funkhouser Announces Retirement