We successfully represented Al Frank Asset Management and its Chief Investment Officer in an AAA arbitration involving claims of breach of fiduciary duty and improper use of margin. The Howard & Georgia Keefer Trust v. Al Frank Asset Management, Inc., et. al (AAA No. 76-148-Y-00170-09-GLO).

Al Frank Asset Management, Inc. (n/k/a AFAM Capital, Inc.,) is a privately owned registered investment advisor headquartered Austin, Texas.