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. Beane v. Craig Scott, FINRA ID #15-02075 (Orlando, FL, 4/12/17) – A sole Arbitrator finds a brokerage and two brokers liable for compensatory and punitive damages on a variety of causes of action. Then, he honors a respondent chief compliance officer’s request for an opinion on the claims against him, finding the CCO non-culpable in this explained Award

2. Alexander v. Cantella & Co., FINRA ID #15-00724 (Boston, MA, 4/14/17) – A Panel explains at length why it denies disability discrimination and whistleblower retaliation claims, addressing claimants’ allegations point for point.

3. Huitt v. Wilbanks Securities, FINRA ID #16-00226 (Salt Lake City, UT, 4/13/17) – A customer who alleges fraud in connection with her investment in a variable annuity recovers $536,720 in compensatory damages and an equal amount in punitive damages against a broker-dealer.

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