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Most Recent Posts in Arbitrators

Dec 1, 2023 Stifel Nicolaus Broker Chuck Roberts Accused of Securities Fraud Resulting in Multi-Million Dollar Damages
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May 28, 2019 Wedbush/Hilltop Securities Broker Mark Augusta Accused of Fraud, Financial Elder Abuse
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Jan 2, 2018 Merrill Lynch Continues Choice-of-Law Provisions Despite of Industry Discipline and Admonishment
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Sep 22, 2017 Arbitration Panel Orders Barred Broker Li-Lin Hsu, Ameriprise Financial to Pay $675,000 for Alleged Misrepresentation and Misappropriation of Customer Funds
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Aug 13, 2016 Newport Coast Securities Hit with $100k Arbitration Award, Including $57k in Damages for Elder Abuse; Firm Opts to Quit the Industry
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Jul 22, 2016 FINRA Considering New Fund for Unpaid Arbitration Awards
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Dec 16, 2013 Adviser Rafael R. Sanchez Barred & Ordered to Pay $4.6 Million in Damages Over Real-Estate Fund Damages
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Jun 24, 2013 Arbitrator Indictment Spotlights Importance of Conducting Due Diligence in Arbitration
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