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Fareri’s testimony that he was unaware of activities and tax filings that “inured only to his personal benefit” was not credible, arbitrators said.
An arbitrator ruled mostly in favor of United Galaxy Associates, but he also found that the broker’s conduct in renegotiating fees “shocking to the conscious.”
The Gabelli company claims that James Scanlon is sidestepping an agreement in a “blatant attempt to avoid FINRA as a forum.”