Arbitrator Due Diligence

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View these free summaries of just-released Awards, hot off the press, as well as some selected Awards of interest.
Selected Awards of Interest


1. Beal v. Royal Alliance, FINRA ID #14-01816 (San Francisco, CA, 10/4/16) – A group of customers alleging over-concentration of their accounts collectively wins $1.1 million in compensatory damages.

2. Merrill Lynch v. Reed, FINRA ID #15-00553 (Houston, TX, 10/7/16) – Two brokers successfully defend against their former employer’s loan default claim and win $800,000 in compensatory damages, $215,000 in attorney fees and reformation of their Form U5s on their counterclaims.

3. Lovick v. TIAA-CRED Individual & Institutional, FINRA ID #15-02950 (Dallas, TX, 10/7/16) – A Panel grants a directed verdict on a broker’s claim for wrongful termination and U5 reformation.

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