Sims Moss Recovers for Investor on Mishandled Transfer of Securities Account

In April 2002, Gerald B. Kline successfully asserted an investor’s claims against his former broker-dealer for mishandling and delaying the transfer of the investor's securities account to another broker-dealer during the April 2000 technology market melt down. Asserting claims of commercially unreasonable conduct, breach of industry transfer requirements, fiduciary breach and deceit, Mr. Kline recovered a six digit NASD arbitration Award for his client.