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. Charles Schwab v. Morgan Stanley, FINRA ID #16-00705 (Los Angeles, CA, 11/2/17) – A broker-dealer hired a broker who took customer lists and other trade secrets from a non-signatory of the Protocol for Broker Recruitment. As a result, the Panel orders the raiding brokerage to pay the non-signatory $360,000 in compensatory damages, $600,000 in punitive damages and $289,534 in attorney fees.

2. Giaquinto v. Lightspeed Trading, FINRA ID #16-03220 (Newark, NJ, 11/2/17) – The respondent in this Employee-Member case must pay attorney fees as a sanction for filing a “frivolous” pre-hearing motion to dismiss, but the claimant recovers only $1.00 in damages on his claim.


3. NSB Advisors v. C.L. King, FINRA ID #15-01198 (New York, NY, 11/3/17) – The trustee of a bankrupt investment advisory firm recovers $1,750,000 in compensatory damages from a custodial broker-dealer.


4. Auguillard v. IMS Securities, FINRA ID #16-01800 (Houston, TX, 11/1/17) – A group of customers recover a total of $2.3 million from a brokerage and two of its employee.

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