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Home > Blog > Fredrick Griffin v. Rockwell Global Capital LLC FINRA Dispute Resolution Award

Fredrick Griffin v. Rockwell Global Capital LLC FINRA Dispute Resolution Award

Griffin requested compensatory damages of approximately $200,000.00, attorneys’ fees, interest, costs, punitive damages, and such in a claim against Rockwell Global Capital LLC in January 2013.

Griffin stated that Rockwell Global Capital LLC violated Florida’s Securities and Investor Protection Act; breach of fiduciary duty; common law fraud; excessive trading; breach of contract; restitution; negligence; negligent misrepresentation; omission; and negligent supervision. The causes of action relate to Griffin’s investments in unspecified securities.

Fredrick Griffin v. Rockwell Global Capital LLC FINRA Dispute Resolution Award

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