KSR Wins Options Strategy Arbitration

August 2025 – KSR successfully defended an investment adviser and its representative accused of mismanaging an options strategy. Seeking damages of at least $5,000,000.00, the claimants brought claims for breach of fiduciary duty, negligence, respondeat superior, and breach of duty to supervise. After a three-day FINRA arbitration in Chicago, the panel denied all of the claimants' claims in their entirety. Jim Kopecky and Howard Rosenburg handled the matter for the firm.