Skip to main content

Exit WCAG Theme

Switch to Non-ADA Website

Accessibility Options

Select Text Sizes

Select Text Color

Website Accessibility Information Close Options
Close Menu

Former Deutsche Bank AG Executive Awarded Damages By FINRA Panel

A Financial Industry Regulatory Authority arbitration panel has ruled in favor of James Zeigon, a former executive for Deutsche Bank AG, in an investment loss case. First Republic Securities Company, LLC (“First Republic”) was ordered to pay Zeigon $870,000 for losses in collateralized bond obligations and the TW Tax Advantaged Fund LP.

The arbitration claim requested damages of $2.1 million but the arbitration panel dismissed the claims concerning two other investments because of FINRA’s six-year eligibility rule. The claim alleged that First Republic failed to perform an adequate suitability analysis before recommending the complicated investments to Zeigon.

The Florida securities lawyers at Rabin Kammerer Johnson represent investors nationwide in FINRA arbitration matters. Investors nationwide who have incurred recoverable investment losses due to specific failures by stockbrokers and brokerage firms, and who may have a FINRA arbitration claim, may contact the Florida securities lawyers at Rabin Kammerer Johnson for a free and confidential consultation by calling toll free at 877.915.4040.

Facebook Twitter LinkedIn

By submitting this form I acknowledge that form submissions via this website do not create an attorney-client relationship, and any information I send is not protected by attorney-client privilege.

Skip footer and go back to main navigation