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Rooney v Wachovia Securities, LLC - Fraud, Breach of Fiduciary Duty $567,000 Award

In November 2004 an NASD Arbitration panel in Los Angeles, CA ordered Wachovia to pay Mr. and Mrs. Rooney compensatory damages of $189,000, and an additional $378,000 in punitive damages. Dr. O'Neal testified on the use of inappropriate mutual fund share classes and on costly switching among various mutual funds that showed nearly identical return patterns.

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Eddie O'Neal
Principal336.655.8718