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. Ryan v. J.W. Millegan, FINRA ID #15-01446 (Portland, OR, 9/6/16) – A Panel explains why it finds the customer claimants’ allegations of churning and unsuitability credible enough to award damages in their favor.

2. Caron v. TD Ameritrade, FINRA ID #14-03194 (On Papers, 9/8/16) – A sole Arbitrator in this Small Claims case explains why a broker-dealer has no duty to deliver stock certificates to the customer who purchased the shares.

3. Rivera Riera v. UBS Financial, FINRA ID #15-00295 (San Juan, PR, 9/9/16) – Investors in Puerto Rico bonds and bond funds win a total of $750,000 in compensatory damages.

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