Deutsche Bank Securities Inc. et al v. Roskos et al
Case Number:
1:15-cv-00534
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Companies
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August 05, 2016
Deutsche Bank Mostly Ducks FINRA Tax Shelter Arbitration
Deutsch Bank AG can mostly escape a $15 million Financial Industry Regulation Authority arbitration demand by seven people whose loan-based tax shelters were rejected by the Internal Revenue Service, a New York federal judge ruled Thursday, finding that FINRA arbitration rules largely do not apply to the dispute.
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July 10, 2015
Deutsche Bank Can't Ax FINRA Tax Shelter Arbitration Demand
A Manhattan federal judge held off Thursday on Deutsche Bank AG's bid to squelch a $15 million Financial Industry Regulatory Authority arbitration demand by seven people whose loan-based tax shelters were rejected by the IRS, ordering limited discovery on the bank's assertion that FINRA has no jurisdiction under Second Circuit law.