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 2022-13 SELECTED AWARDS OF INTEREST

1. Dertouzos v. Wells Fargo FINRA ID #18-03981 (New York, NY, 2022-05-17) – A broker asserting that Respondent broker-dealers' were culpable with Credit Suisse's alleged scheme to steal his deferred compensation and seeking $5.5 million is awarded nearly $1 million in compensatory damages.

2. Stifel Nicolaus v. Pratt FINRA ID #21-01934 (Philadelphia, PA, 2022-05-13) – A broker is held liable to his former employer for the amounts due and owing pursuant to the terms of a promissory note agreement and is ordered to pay Claimant broker-dealer monetary sanctions after being held in contempt by the Arbitrator.

3. Souran v. Robinhood Financial FINRA ID #21-00545 (Milwaukee, WI, 2022-05-16) – The Arbitrator dismisses without prejudice a customer's claims against Respondent broker-dealer as a sanction for his failure to comply with his Order regarding the production of his witness list, the scheduling of a hearing in this matter, and the status of his bankruptcy filing and whether the case could proceed.

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