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. Vogel v. Brouwer, FINRA #15-01636 (Detroit, MI, 6/6/16) – After a hearing in which the customer opposed his request, this Explained Award recommends expungement of most but not all of the allegations against a broker (see our summary in SAA 2016-23).

2. Forde v. TD Ameritrade, FINRA ID #15-00598 (Charlotte, NC, 6/7/16) – A Panel awards a group of related customers $550,000 in compensatory and $500,000 in punitive damages from two affiliated brokerages on a finding of fraud.

3. Montfort v. C.L. King, FINRA ID #12-01987 (New York, NY, 6/7/16) – A deceased customer’s estate recovers $10 million in compensatory damages from a broker-dealer.

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