Liddle & Robinson Attorneys at Law New York City


On June 13, 2014, a Miami, Florida based FINRA arbitration Panel issued an Award in which it found Schroder Fund Advisors LLC and Jason Barger jointly and severally liable in the amount of $1,044,753, for tortiously interfering with Jorge Gutierrez’s business and professional relationships, and further ordered them to pay all forum and filing fees ($9,850). Mr. Gutierrez, L&R’s client, is an offshore wholesaler who previously worked at Schroder Fund Advisors LLC, and for Mr. Barger, and the case stemmed from their wrongful interference with his relationships with both his new employer, and a key client.

Subsequently, Schroder Fund Advisors LLC and Mr. Barger filed a Petition to Vacate the Award in the United States District Court for the Southern District of New York. L&R argued to that Court that it was an improper forum, and was selected to avoid controlling law in the proper District – the United States District Court for the Southern District of Florida – that precluded the Petition to Vacate. On July 31, 2014, the United States District Court for the Southern District of New York issued an Order in which it agreed to transfer the action to the United States District Court for the Southern District of Florida. Thereafter, Schroder Fund Advisors LLC and Mr. Barger paid the entirety of the Award, plus interest.

(FINRA Dispute Resolution No. 13-00793; Case 1:14-cv-4746-GHW)

Web Info (URL): www.liddlerobinson.com/docs/gutierrez-v-schroder-fund-advisors.pdf




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