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Arbitrators

December 01, 2023 Stifel Nicolaus Broker Chuck Roberts Accused of Securities Fraud Resulting in Multi-Million Dollar Damages
May 28, 2019 Wedbush/Hilltop Securities Broker Mark Augusta Accused of Fraud, Financial Elder Abuse
January 02, 2018 Merrill Lynch Continues Choice-of-Law Provisions Despite of Industry Discipline and Admonishment
September 22, 2017 Arbitration Panel Orders Barred Broker Li-Lin Hsu, Ameriprise Financial to Pay $675,000 for Alleged Misrepresentation and Misappropriation of Customer Funds
August 13, 2016 Newport Coast Securities Hit with $100k Arbitration Award, Including $57k in Damages for Elder Abuse; Firm Opts to Quit the Industry
July 22, 2016 FINRA Considering New Fund for Unpaid Arbitration Awards
December 16, 2013 Adviser Rafael R. Sanchez Barred & Ordered to Pay $4.6 Million in Damages Over Real-Estate Fund Damages
June 24, 2013 Arbitrator Indictment Spotlights Importance of Conducting Due Diligence in Arbitration