Arbitrator Due Diligence

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

UPDATE: ARBchek UA 2018-45 SELECTED AWARDS OF INTEREST

1. Domanski v. Rothschild Lieberman FINRA ID #17-00518 (New York, NY, 2018-11-15) – A group of Claimant brokers win over $600,000 on their compensation claims against Respondent broker-dealer. Claimants' claims against Respondent brokers are voluntarily dismissed and/or denied.

2. Rusk v. First Republic FINRA ID #16-03411 (New York, NY, 2018-11-21) – An Arbitration Panel finds that Claimant broker was wrongfully terminated by Respondent broker-dealer and is awarded over $1 million dollars in damages and expungement of his Form U-5 relating to his defamation claim. Respondent broker-dealer's Counterclaim for amounts due and owing on a promissory note is ordered forgiven.

3. Voss v. Legend Securities FINRA ID #17-00910 (New York, NY, 2018-11-23) – A customer alleging churning, unauthorized trading, among other things is awarded over $1 million in damages, inclusive of $700,000 in punitive damages (pursuant to the Federal Arbitration Act and case law) against Respondent broker-dealer and two brokers. Customer's claims against remaining brokers are stayed due to bankruptcy and/or settled.

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