David Mark Gaba

Dave has an active practice representing both broker-dealers and consumers in complex securities and insurance matters. Prior to joining Compass Law Group, Mr Gaba represented broker-dealers and stockbrokers at Golbeck Roth pllc and was an Assistant Attorney General for the State of Washington handling complex state and federal litigation; he has also been an Administrative Law Judge and serves as an arbitrator for FINRA and the American Arbitration Association. Dave also represents securities industry clients in employment matters and drafted and presented the FINRA employment law training to all FINRA arbitrators in Washington and Oregon.

Mr. Gaba has a JD and MBA from the University of Nebraska and is a member of the National Academy of Arbitrators

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Idaho

Idaho State Bar

Nebraska

Washington

Washington State Bar Association

ID Number: 18908

Since 1989

Nebraska State Bar  # 17960

Member

Current

Idaho State Bar

Current

Washington State Bar Association  # 18908

Member

Current

Disregarding the Manifest Disregard of the Law Standard Under the Federal Arbitration Act, 17 PIABA B. J. 179 (2010)

Equitable Defenses Under State Blue-Sky Law, PIABA B. J., Vol. 16, No. 3 (2009)

You didn’t Necessarily Lose Money, Nebraska Lawyer, Vol 23, No 1, (2020)

Q. I trade options at my online broker. A bad trade yesterday that cost me $8000.00 due to a mistake by my broker.

January 3, 2022

A: Have you reviewed your entire contract with your broker-dealer? Depending on the specific language they may have been within their rights to fill your order.