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 2018-27 SELECTED AWARDS OF INTEREST

1. Dielman v. Woodbury Financial FINRA ID #17-00857 (San Diego, CA, 2018-06-25) – A broker-dealer is liable to customers for $1,091,575 in compensatory damages and interest for permitting a broker to execute unsuitable transactions in the customers' accounts.

2. Alvarez v. UBS Financial FINRA ID #14-01056 (San Juan, PR, 2018-06-28) – A Panel denies the claims of an investor in Puerto Rico bond funds, despite the absence of his broker from the hearings.

3. Garza v. Texas E&P FINRA ID #17-03069 (Houston, TX, 2018-07-05) – An investor in oil and gas private placements obtains a default judgment against a brokerage and a broker, winning an award of $521,000 in compensatory damages and $1 million in punitive damages.

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