Award

Odeon Capital Group LLC v Hilltop Securities Inc. (FINRA 24-00407)

FINRA Dispute Resolution Services · Securities (FINRA) · United States · March 31, 2025

Why it matters

Odeon Capital Group LLC v Hilltop Securities Inc., decided in FINRA arbitration, where the great majority of disputes in the American securities industry are settled rather than in the courts. The sum in issue was $3,543,253.00. A FINRA award is final and binding, open to challenge only on the narrow grounds the law allows.

Summary

A dispute between Odeon Capital Group LLC and Hilltop Securities Inc., heard by FINRA, which arbitrates the great majority of disagreements in the American securities industry. They sought $3,543,253.00 in damages. The panel found for the claimant and ordered payment of $748,000.00. A FINRA award is final and binding, open to challenge only on the narrow grounds the law permits. The full reasons sit in the original, linked here.

The detail

Parties: Odeon Capital Group LLC v Hilltop Securities Inc.

Case number: FINRA Case No. 24-00407

Outcome: Award for the claimant of $748,000.00.

Quantum: $748,000.00

Applicable law: FINRA Code of Arbitration Procedure; United States securities law; the parties' brokerage agreement.

Issues in play: An investor's or an industry member's claim, decided in FINRA's arbitration forum rather than the courts.

Read the full decision at FINRA Arbitration Awards Online

Locus Standi links to the source decision and publishes its own plain-language summary. It does not reproduce the text of the award.

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