Breach of Fiduciary Claims Dismissed

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.