CRK Obtains Favorable Settlement for Financial Advisor

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CRK obtained a favorable settlement for a Financial Advisor in a FINRA arbitration filed against her by her former employer, a large investment firm.  The claims  – for default on several promissory notes, as well as misappropriation of trade secrets – were resolved several months prior to the hearing for less than 20% of the amount claimed.  The F.A. had terminated her relationship with the firm before the maturity dates on the notes, thus triggering their acceleration.

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